Investor Advisory & Capital Market Safeguards
Essential regulatory guidelines, security advisories, and risk precautions mandated by SEBI and the Stock Exchanges.
Issued in Public Interest | SEBI, NSE, BSE & CDSL Directives
Home
/
Statutory Disclosures
/
Investor Advisory
1. Caution Against Unsolicited Tips & Guaranteed Returns
Beware of fraudsters posing as SEBI-registered entities on Telegram, WhatsApp, Instagram, or SMS offering "assured returns", "guaranteed profit sharing", or "dabba/illegal trading".
Shree Naman Securities & Finance Pvt. Ltd. NEVER guarantees returns or manages funds outside regulated clearing mechanisms.
Always verify the registration credentials of any intermediary on the official SEBI portal before transacting.
2. Safeguarding Account Credentials & Delivery Instruction Slips
- Never share trading passwords, 2FA authentication PINs, or OTPs with dealers, employees, or third-party advisors.
- Keep Delivery Instruction Slip (DIS) booklets in secure custody. Never sign blank or incomplete DIS slips under any circumstances.
- Regularly update and verify your registered mobile number and email ID with CDSL to receive immediate transaction SMS alerts.
- Register for CDSL's "EASI" (Electronic Access to Securities Information) service to monitor your Demat portfolio online directly.
3. Pay-in Verification & Client Fund Handling
As mandated by SEBI circulars on the upstreaming of client funds, all pay-ins must strictly originate from your linked bank account and be deposited into SNSF's designated Primary (HDFC Virtual Account) or Alternate (Canara Bank) Upstream Accounts.
NEVER deposit cash or transfer money to the personal bank accounts of any Authorized Person (AP), dealer, or employee. Any such transaction is strictly unauthorized and at the client's sole risk.
Utilize ASBA (Application Supported by Blocked Amount) for all IPO subscriptions so that your money remains in your own bank account until allotment.
4. Verifying Electronic Contract Notes & Exchange SMS
- Verify Electronic Contract Notes (ECNs) delivered to your registered email within 24 hours of trade execution.
- Reconcile trade confirmations received directly from the exchanges (BSE and NSE) via daily SMS alerts against your ledger.
- Meticulously inspect monthly holding and transaction statements sent by CDSL directly to your registered email address.
5. Mandatory Nominee Assignment
SEBI has mandated that all individual Demat and trading account holders must either assign a nominee or formally submit an opt-out declaration.
Having a registered nominee ensures seamless transmission of securities to legal heirs without prolonged legal procedures.
Contact our compliance desk at kyc@namansec.com to verify or update your nomination status immediately.
6. Prompt Grievance Redressal
Level 1: Customer Care Desk
Mrs. Tejal Mehta | Phone: +91 22 49698001 | Email: grievance@namansec.com
Level 2: Compliance Officer
Mr. Harshkant Suchdev | Phone: +91 22 49698001 | Email: compliance@namansec.com
Level 3: Regulatory Bodies
Stock Exchange Grievance Cells (BSE / NSE) and CDSL Depository.
Level 4: Online Dispute Resolution
SEBI SCORES (scores.sebi.gov.in) and SMART ODR (smartodr.in).
Advisory Index
Unsolicited Tips & Fraud Prevention
Demat & Trading Account Security
Mandatory Upstream Fund Transfers
Trade Confirmation & Statement Audit
Mandatory Demat Nomination
Grievance Escalation Channels