Due to the increasing number of complaints and issues from the clients, we have put the  Don’ts required to be followed mandatorily by all the Authorised persons as part of the company’s AP compliances and policy:-

DON’Ts for all APs

• AP should not solicit business with other trading members in the same segments and do not engage with any other person/ firm in any capacity to render unauthorized or unregistered services.
• AP should introduce himself/ herself to the investors/ clients as AP and not as an employee in any mode of communication.
• AP should not give any profit commitment, other incentive schemes, guarantee via different modes like Whatsapp, telegram, SMS, Facebook, LinkedIn, instagram, calls and also through personal websites, webpages etc.
• Not to indulge in services of investment advisory/ portfolio management services without holding valid registration of SEBI.
• No AP shall take the client’s fund into his/her personal account or in cash and also the AP is not allowed to handle the client’s money or securities on his own despite being a close relative or not.
• No AP is allowed to take the User Id Password of any client for trade or any other purpose, even if the client is agreed to the same.
• No AP shall publish an advertisement, leaflets, pamphlets, brochures or other modes of advertisements without the approval of the Compliance Department via mail.
• No AP shall opt for illegal or unethical business practices by just giving trading services to the client for earning high brokerage out of their hard-earned income.
• No AP shall force or instigate any client to start trading in the stock market if the client is not sure or ready to start trading.

To get best deal in Broking Franchise –