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Responsibilities of the Investor

  • Review of Documents: Investors should carefully read and understand all documents provided by the stock broker, including the account opening form, terms and conditions, and any other relevant agreements.

  • Transaction Confirmation: Investors are responsible for verifying the details of each transaction, including trade confirmations, contract notes, and statements of accounts. Any discrepancies should be promptly reported to the stock broker.

  • Knowledge of Investment: Investors are encouraged to enhance their knowledge of the securities market and seek professional advice when needed. This includes understanding the risks associated with various investment products.

  • Regular Monitoring: Investors should regularly monitor their investment portfolios and keep track of market updates. This includes reviewing account statements and transaction history.

  • Prompt Reporting of Changes: Investors are required to promptly inform the stock broker about any changes in their personal information, contact details, or any other relevant information linked to their trading accounts.

  • Compliance with Exchange Rules: Investors should comply with the rules and regulations of the stock exchanges and other relevant authorities.

  • Risk Disclosure: Stock brokers are required to ensure that investors are aware of the risks associated with trading and investing in securities. Investors, in turn, should pay attention to these risk disclosures.

  • No Unauthorized Trading: Investors should not authorize any third party to trade on their behalf without proper authorization. Unauthorized trading may lead to financial losses.

  • Payment of Margins: Investors are responsible for maintaining the required margins in their trading accounts as per the regulations.

  • Grievance Redressal: In case of any grievances or disputes, investors should follow the prescribed procedures for lodging complaints with the stock broker and relevant authorities.

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