Regulatory Information

Compliance requirements and regulatory guidelines for investors

SEBI Registration Details

Stock Exchanges

BSE/NSE/MSEI/MCX/NCDEX: INZ000169235

Depository

CDSL DP: IN-DP 410-2019

Research Analyst

Registration: INH000001329

FEDAI

Member of FEDAI

Client Registration & KYC

Mandatory Forms

Individuals Client Registration Form for KYC Registration Agency
Non-Individuals Client Registration Form for KYC Registration Agency

Key Requirement: "SEBI vide circular no. CIR/MIRSD/16/2011 dated August 22, 2011 has replaced all the client-broker agreements, with the 'Rights and Obligations' document"

Additional Documentation for Derivatives Trading

Required supporting documents include:

ITR Acknowledgment copies
Annual account statements
Salary slips and Form 16
Networth certificates
Six-month bank statements
Demat holding statements
Asset ownership documentation
Self-declarations with evidence

Regulatory Compliance Notices

Key Investor Alerts

"Prevent unauthorised transactions in your trading / demat account → Update your mobile numbers/email IDs"
KYC is a one-time exercise across SEBI-registered intermediaries
Stock brokers must accept securities as margin through depository pledge only (effective September 1, 2020)
Maintain 20% upfront margin for cash market trading

Grievance Redressal

Contact Email

complaints.redressal@sunidhi.com

SCORES 2.0 Portal

https://scores.sebi.gov.in/

Risk Disclosure - Derivatives Trading

"9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses"

Average loss-maker net trading loss: approximately Rs 50,000

Source: SEBI study, January 2023