ACCOUNT OPENING | Daiwa Capital Markets India Private Limited

ACCOUNT OPENING

KYC kit is attached
KYC KIT - NON-INDIVIDUALS.pdf
KYC KIT - INDIVIDUAL.pdf

DORMANT / INACTIVE ACCOUNTS

Kindly refer to “Annexure 7 - Policies & Procedures” in the KYC kit.

Client Registration Documents in Vernacular Languages

This is with reference to BSE circular No. 20160711-11 dated 11 July 2016, NSE Circular No. 283/2016, dated July 08, 2016 and SEBI PR No. 130/2016, dated August 01, 2016.

In order to facilitate better understanding of the registration documents by the investors, BSE and NSE have provided the following documents in 15 regional vernacular languages:

1. Document stating the Rights & Obligations of stock broker, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet / wireless technology based trading).
2. Uniform Risk Disclosure Documents (for all segments / exchanges).
3. Guidance Note detailing Do’s and Don’ts for trading on exchanges.

The above mentioned documents in vernacular languages are available for download *:
(i). on BSE website at:
http://www.bseindia.com/investors/client_regislanguages.aspx?expandable=3
(ii). on NSE website at:
https://www.nseindia.com/membership/content/complinc_trading_mem.htm

* In case you are unable to download the aforesaid documents, you are requested to kindly send an email at customerservice@in.daiwacm.com and a copy will be made available to you.

INVESTORS GRIEVANCE

Investors beware of unsolicited Messages;
List of securities in which SMSs is found to be circulated is available on http://www.bseindia.com/downloads1/List_of_scrips.xlsx and https://www.nseindia.com/List_of_Symbol.csv
Unsolicited SMS can be reported on +91 7506840578/+91-8291833676
Investors can visit https://investor.sebi.gov.in/for further information on investor awareness

Investor grievance redress mechanism - Link to SCORES portal - https://scores.gov.in

Investors who wish to lodge a complaint on SCORES are requested to register themselves on https://scores.gov.in by clicking on “Register here”.

While filing the registration form, details like Name of the investor, PAN, Contact details, Email id, Aadhaar card number(optional), CKYC ID(optional) etc.(Annexure A of SEBI Circular - SEBI/HO/OIAE/IGRD/CIR/P/2018/58 dated 26th March 2018) may be provided for effective communication and speedy redressal of the grievances. Upon successful registration, a unique user id and a password shall be communicated to the investor through an acknowledgement email / SMS.

An investor shall use login credentials for lodging complaint on SCORES (“Login for registered user” section). Details on how to lodge a complaint on SCORES is at Annexure B of SEBI Circular - SEBI/HO/OIAE/IGRD/CIR/P/2018/58 dated 26th March 2018.

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