Company Policies

Comprehensive framework detailing client due diligence, suspicious transaction monitoring, and risk management guidelines under FIU-IND and SEBI mandates.

Operational guidelines explaining CDSL and exchange-directed scenarios under which client trading and demat accounts are frozen or blocked.

Internal procedures outlining automated alert controls, trade pattern scanning, and audit trails for detecting suspicious transactions.

Crisis response and emergency preparedness guidelines ensuring seamless replication of broking services and tech systems during natural or technical outages.

Operational frameworks detailing front-office controls, back-office reconciliation, separation of functions, and dual audit checkpoints.

Strict protocols and limits for accepting pre-funded banking instruments (Demand Drafts, pay orders) to verify the legitimate source of client funds.

Regulatory procedures outlining conditions and reporting timelines under which client trade modification keys can be executed due to genuine errors.

Security guidelines defining complexity rules, age limits, storage practices, and authorization profiles for corporate internal database access.

Framework detailing daily, weekly, and monthly system back-up schedules, secure offsite servers, and routine test-restoration procedures.

Clear parameters for categorizing client trading accounts as dormant due to prolonged inactivity, alongside simple client reactivation procedures.

Staff code of conduct strictly prohibiting transmission or distribution of unverified market news, rumors, or speculation on digital and social networks.

Dedicated resolution timelines, client complaint tracking procedures, and escalation matrix levels for addressing retail complaints.

Outsourcing control framework outlining risk assessments, data protection rules, and vendor due diligence guidelines.