• Investor Complaints DP April 2024
• Investor Complaints Research Analyst April 2024
• Investor Complaints Stock Broker April 2024
• Investor Charter - Research Analyst
• Investor Charter – Depository Participant
• Advisory – KYC Compliance

Investors are requested to note that Stock broker - Trust Financial Consultancy Services Private Limited is permitted to receive money from investor through designated bank accounts only named as Up streaming Client Nodal Bank Account (USCNBA). Stock broker - Trust Financial Consultancy Services Private Limited is also required to disclose these USCNB accounts to Stock Exchange. Hence, you are requested to use following USCNB accounts only for the purpose of dealings in your trading account with us. The details of these USCNB accounts are also displayed by Stock Exchanges on their website under “Know/ Locate your Stock Broker.

• SEBI
• NSE
• BSE
• MSEI
• CDSL

• SEBI Circular No. CIR/MRD/DSA/24/2010 dated August 11, 2010
• SEBI Circular No. CIR/MRD/DSA/29/2010 dated August 31, 2010
• SEBI Circular No. CIR/MRD/DSA/2/2011 dated February 09, 2011
• SEBI Circular No. CIR/MRD/ICC/20/2013 dated July 05, 2013
• SEBI Circular No. CIR/MRD/ICC/21/2013 dated July 05, 2013

• NSE
• BSE
• MSEI

• NSE
• BSE
• MSEI

• Account Opening Form – Individual
• Account Opening Form – Non-individual
• Policies and Procedures
• Inactive account Policy
• Client Hand Book

• Rights and Obligations of Stock Brokers, Sub-brokers and Clients
• Risk Disclosure Document for Capital market & Derivatives Segments
• Guidance Note – Do's and Don'ts for Trading on the Exchange(s) for Investors

• Filing Complaints on SCORES- Easy & quick

  • Register on SCORES portal
  • Mandatory details for filing complaints on SCORES:
    • Name,PAN,Address,Mobile Number, Email ID
  • Benefits:
    • Effective Communication
    • Speedy redressal of the grievances

• For any grievance/dispute please contact Trust Financial Consultancy Services Private Limited at the above address or email id [email protected] and Phone no. 022 - 4084 5072

• In case not satisfied with the response, please contact the concerned exchange(s) at the below given email IDs or Phone numbers:

  • NSE at [email protected] and phone no. 022 - 2659 8191/ 18002660050

  • BSE at [email protected], and Phone no. 022 - 2272 8016 / 22728282

  • MSEI at [email protected], and phone no. 022-61129028

  • If not satisfied with the response or your grievance is still unresolved you may register complaint to SEBI on the SCORES website https://scores.gov.in/scores/Welcome.html

1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020.

2. Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.

3. Check your securities / MF / Bonds in the consolidated account statement issued by NSDL/CDSL every month. Issued in the interest of Investors.

• To abstain from dealing in any schemes of unauthorised collective investments/portfolio management, indicative/ guaranteed/fixed returns / payments etc..

• Beware of unregistered Investment advisors, offering assured returns and seeking trading credentials.

• Be aware that Exchange has provided facility to share their information or evidence of systematic wrongdoing, potential frauds, or unethical behaviour to the Exchange through the anonymous portal as per web page link given below:

  • NSE: Write to us, Submit a Tip Off - NSE India

  • BSE: https://www.bseindia.com/investors/tip-off-registration.aspx?expandable=0

• The Exchange has also provided the facility to report unsolicited stock tip / Recommendations on

  • BSE: +91 7506840578 or on dedicated email id i.e., [email protected]

  • NSE: +91 8291833676 or on designated email id i.e., [email protected]

• along with other details as informed on the Exchange website under head ‘Attention Investors'.
• Market participants are advised to use facility to report any such information anonymously and confidentially.

Client shall invest in Options after considering the product suitability / knowledge and trading experience in Options. Also trading activity of the client should be in proportion to his income / net worth.

• Client should avoid below practices:

  • Trading in leveraged products like options without proper understanding, which could lead to losses

  • Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks

  • Dealing in unsolicited tips through Whatsapp, Telegram, YouTube, Facebook, SMS, calls, etc.

  • Trading in “Options” based on recommendations from unauthorised / unregistered investment advisors and influencers.

• Attention Investors

  • Beware of fixed/guaranteed/regular returns/ capital protection schemes. 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 stock broker. Please note that your stock broker has to return the credit balance lying with them, within three working days 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 and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). 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.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 take securities belonging to clients only for settlement of securities sold by 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.

• E- Voting pages of various E-Voting Service Providers (ESPs):

  1. NSDL E-Voting Services: https://www.evoting.nsdl.com/eVotingWeb/resolutionFileDwn.do

  2. CDSL E-Voting Services: https://evoting.cdslindia.com/Evoting/EvotingLogin

  3. KFintech e-Voting system: https://evoting.kfintech.com/