Investor Charter in respect of Depository Participant
Vision and Mission Statements for investors
Vision
To provide prompt error free and customer focused service to all client of DP and provide platform with web based technology for financial services
Mission
To provide cost effective Depository services to members and others. To provide prompt, hassle free and customer focused service to the individuals and corporate
Details of business transacted by the DP
with respect to the investors
- To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information.
- To do due diligence in account opening and Risk categorise the client as per the PMLA policy.
- To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
- To conduct audit annually.
- To disclose the status of complaints in its website.
- To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in its website.
- To employ only qualified and certified employees.
- To deal with clients only from official number.
Details of
services provided
to investors
On boarding of Clients
- Sharing of agreement copy.
- Completing KYC of clients.
Disclosure to Clients
- To provide full disclosure about its business, affiliations, compensation in the agreement.
- To not access client’s accounts or holdings for offering advice.