Investor Charter for Stock Brokers & Depository Participants

Mandated by SEBI to ensure transparency, investor protection, fair service delivery, and prompt grievance resolution.

1. Vision & Mission of Shree Naman Securities

Vision

To provide high quality and hassle free outsourcing services to investors, in an environment that is secure, fair and efficient, in the pursuit of their financial goals.

Mission

To facilitate simple and secured digital onboarding.
To ensure transparency in all business dealings.
To prioritize safety and protection of investor interests.
To provide efficient grievance redressal mechanisms.

2. Details of Business Transacted by the Intermediary

Receiving and executing client orders in Cash, F&O, and Currency segments.
Settlement of funds and securities as per regulatory guidelines.
Providing research services and investment insights.
Facilitating Demat services as a Depository Participant (CDSL).
KYC processing and client onboarding.

3. Services Provided to Investors & Regulatory Timelines

Service Category

Statutory Delivery Timeline

Delivery Mechanism

KYC Onboarding

Within 15 days of receiving documents

Digital/Physical Welcome Letter

Account Deletion/Closure

Within 30 days of valid request

Confirmation via Email/SMS

Issuer Dividends/Interest

Within 7 days of payout date

ECS/Bank Transfer

4. Rights of the Investor

Right to receive fair and equitable treatment.
Right to receive contract notes within 24 hours of trade.
Right to expect security of funds and securities.
Right to receive periodic account statements.
Right to approach SEBI/Exchange for grievance redressal.

5. Investor Responsibilities: Code of Conduct

Investor Do's

Update mobile/email regularly.
Check trade alerts/SMS daily.
Pay margins promptly within timelines.
Nominate your demat account.
Review account statements monthly.

Investor Don'ts

Never share trading passwords/OTPs.
Do not sign blank delivery instruction slips.
Avoid giving discretionary power to sub-brokers.
Don't keep idle funds in trading accounts.
Don't fall for guaranteed return schemes.

6. Grievance Redressal & Dispute Escalation

Level 1: Compliance Officer
Email: grievance@namansec.com | Phone: +91 22 49698001

Level 2: Principal Officer
Contact: info@namansec.com | Address: Mumbai Headquarters

Level 3: Regulatory Portals
SEBI SCORES: scores.sebi.gov.in

Level 4: Online Dispute Resolution
SMART ODR Portal: smartodr.in

1. Vision & Mission Statements

2. Details of Business Transacted

3. Services Provided & Timelines

4. Rights of Investors

5. Responsibilities: Do's and Don'ts

6. Grievance Redressal Mechanism