ADVISORY FOR INVESTORS!!!

Attention Investors!

• Beware of fixed/guaranteed/regular returns/ capital protection schemes offered by Individual(s)/Entity(ies). Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, on upcoming settlement dates of monthly running settlement cycle in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account on First Friday/Saturday of the Month/Quarter as per settlement cycle opted by you. In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following link:
• https://www.bseindia.com/static/investors/Claim_against_Defaulter.aspx
• https://www.nseindia.com/invest/about-defaulter-section
• Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral must remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can accept pledged securities in favour of broker’s Client Unpaid Securities Pledge Account(CUSPA) for Unpaid Securities of the client and/or margin pledge for margin of the client.
• Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly.
• Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.
• Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy.
• Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.

Attention Investors

• In order to enhance investor awareness, transparency and ease of access to information relating to securities holdings, the Depositories (CDSL/NSDL), in co-ordination with SEBI, have upgraded their respective investor applications (link of mobile application mentioned below) providing a consolidated, bird’s eye view of investors’ holdings in securities markets.
• CDSL – MyEasi app
• https://apps.apple.com/in/app/cdsl-myeasi-app/id6737304195
• https://play.google.com/store/apps/details?id=com.cdsl.myeasi
• NSDL – Speede app
• NSDL Speede App App – App
• Store NSDL Speede App - Apps on Google Play The above-mentioned applications of CDSL and NSDL have following features:
• Consolidated view of securities of client across both the Depositories eliminating the need for multiple login;
• Transaction and holding statements at one place improving portfolio management by investors;
• Monitoring of open positions and margin details across Stock Exchanges and Clearing Corporations;
• Option to exercise E-voting on company resolutions; and
• Access to recommendations of proxy advisers on resolutions
• For detailed information, please refer respective depositories circular for the same

Attention Investors

• Information of Short Sell to SW CAPITAL PVT. LTD.
• Please refer to SEBI Circular no. SEBI/HO/MRD/-PoD-3/P/CIR/2024/1 dated January 05, 2024, on the subject of “Framework for short selling”, under the same all the brokers are mandated to collect the details on scrip wise short sell positions, collect the data and upload it to exchanges before commencement of trading on next day,
• Any retail client of SW CAPITAL PVT. LTD. who short sell any scrip is required to:
1. Send an email to settlement@swcapital.in with the subject “Short Sell” providing details of their short sell trades.
2. The said email should be sent before 04.30 pm on the trading day to meet the extent regulatory requirement