Policies & Procedures

Risk Management System ( RMS) Policy

Prohibition On Circulation of Unethical News

Policy on Surveillance Mechanism

Code of Conduct For Employees

Code of Conduct For Prevention of Insider Trading

Cyber Security Policy

Guidelines on outsourcing of Activities

Internal Control Procedures

Internal Policy Nism Series VII -SORM

PMLA Policy

Invester Charter-Stock Brokers

Policy For Dealing with Conflict of interest of Intermediaries

Policy For Redress Mechanism of Invester Grivance

Policy On Client Code Modification

Policy On Dealing With Inactive Dormant Clients

Policy on Identification of Beneficial Ownership

Policy On Introduction And Registration Of Clients

Policy on Receipt of Pre Funded Instruments

Policy On Setting Of Limits For Terminals

Settlement on Running Account