Statutory Policies & Corporate Governance

Official operating frameworks, risk management guidelines, and statutory policies mandated by SEBI and the Stock Exchanges.

Mandatory Policy Documents & Operating Frameworks

Download the official policy documents of Shree Naman Securities and Finance Pvt. Ltd. governing account operations, capital market risk management, and regulatory compliance.

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Pre-funded Instrument Policy

Procedures and limits for accepting Demand Drafts, Pay Orders, and electronic pre-funded pay-in instruments as per SEBI guidelines to prevent money laundering.

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Dormant Account Policy

Framework for identifying inactive client accounts, safeguarding idle ledger balances, and the step-by-step verification process for account reactivation.

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Risk Management System (RMS) Policy

Comprehensive guidelines covering margin requirements, intraday square-off protocols, collateral haircut valuation, and exposure limits.

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Conflict of Interest Policy

Institutional code governing fair dealing, personal trading restrictions, and mitigation of conflicts between intermediary operations and client interests.

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Circulation of Unauthenticated News Policy

Strict internal guidelines prohibiting employees and affiliates from encouraging or circulating market rumors, speculative tips, or unverified news.

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Internal Control & Surveillance Policy

Supervisory and technological surveillance protocols designed to detect abnormal trading patterns, wash trades, and market manipulation.

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Anti-Money Laundering (PMLA) Framework

Procedures for Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and reporting suspicious transactions in adherence to the PMLA Act, 2002.

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Code of Conduct & NISM Qualification Policy

Mandatory professional accreditation standards for dealing desk personnel and statutory disclosures regarding personal trading.

Need Clarification on Any Policy?

For questions regarding policy terms or to request documents in assistive formats for persons with disabilities, reach our compliance officer at compliance@namansec.com or call +91 22 49698001.