DO and DONTS

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MANAGING YOUR DEMAT ACCOUNT WITH CDSL

                             SIMPLE DOs and DON’Ts


1.    Verify your transaction statement carefully for all debits and credits in your
      account. In case of any unauthorized debit or credit, inform your DP or CDSL.
2.    Intimate any change of address or change in bank account details to your DP
      immediately.
3.    While accepting the Delivery Instruction Slip (DIS) book from your DP, ensure that
      your BO ID is pre-stamped on all the pages along with the serial numbers.
4.    Keep your DIS book safely and do not sign or issue blank or incomplete DIS slips.
5.    Strike out the empty space, if any, in the DIS, before submitting to DP.
6.    For market transactions, submit the DIS ahead of the deadline time. DIS can be
      issued with a future execution date.
7.    The demat account has a nomination facility and it is advisable to appoint a
      nominee to facilitate your heirs in obtaining the securities in your demat account,
      on completion of the necessary procedures.
8.    To open and operate your demat account, copy of PAN card of all account holders
      is to be submitted to the DP along with original PAN card, for verification.
9.    Register for CDSL’s SMART (SMS Alerts Related to Transactions) facility. If any
      unauthorized debit is noticed, the BO should immediately inform CDSL and the
      Main DP, in writing. An email may be sent to CDSL at complaints@cdslindia.com.
10.   Register for CDSL’s Internet based facility “easi” to monitor your demat account
      yourself. Contact your DP or visit CDSL’s website: www.cdslindia.com for details.
11.   In order to receive all the credits coming to your demat account automatically, you
      can give a one-time, standing instruction to your DP.
12.   Before granting Power of Attorney to anyone, to operate your demat account,
      carefully examine the scope and implications of powers being granted.
Do's and Don'ts

Do's:

   Register for CDSL's internet based facility 'easi' to monitor your demat account yourself. Contact your DP for details.
   Register for CDSL's SMS Alert facility - SMART and obtain alerts for any debits or credits due to a corporate action,in
   your demat account.
   Accept the DIS book from your DP only if each slip has been pre-printed with a serial number along with your demat
   account number and keep it in safe custody.
   Always mention the details like ISIN, number of securities accurately. In case of any queries, please contact your DP or
   broker.
   Ensure that all demat account holder(s) sign on the DIS.
   Please strike out the any blank space on the slip.
   Cancellations or corrections on the DIS should be initialed or signed by all the account holder(s).
   Submit the DIS ahead of the delivery date for all type of market transactions. DIS can be issued with a future execution
   date.
   Intimate any change of address or change in bank account details to your DP immediately.
   Check the investor service record of the issuer company with your DP before deciding to send certificates for demat.
   The list of companies whose demat request are pending is published at www.cdslindia.com.
   Before sending securities for demat, record the distinctive numbers of the securities sent.
   Before granting Power of Attorney(PoA) to anyone, to operate your demat account, carefully examine the scope &
   implications of powers being granted.
   PoA is not mandatory for opening a demat account.
   The demat account has a nomination facility and it is advisable to appoint a nominee, in case of sole account holders.
   Ensure that, both, your holding and transaction statements are received periodically as instructed to your DP. You are
   entitled to receive a transaction statement every month if you have any transactions and once a quarter if there have
   been no transactions in your account.
   Check your demat account statement on receipt. In case you notice any unauthorized debits or credits, contact your DP
   for clarification. If not resolved, you may contact CDSL Investor Grievance Dept., Mr. Durgesh Gurav, Central Depository
   Services (India) Ltd., Marathon Futurex, A Wing, 25th floor, Mafatlal Mills Compound N M Joshi Marg , Lower Parel ( E)
   Mumbai - 400013 , Phone :022 2305-8658 email- complaints@cdslindia.com

Don'ts:

   Do not leave your instruction slip book with anyone else.
   Do not sign blank DIS as it is equivalent to a bearer cheque.
   Avoid over-writing, cancellations, misspellings, changing of the name and quantity of securities.
We request you to meticulously follow the above instructions, to avoid any problem in operation of your demat account.
                                 BSE – Investor DO’s and Don’ts



Do's :

        Always deal with the market intermediaries registered with SEBI / stock exchanges.
        Collect photocopies of all documents executed for registration as a client, immediately on
         its execution. Ensure that the documents or forms for registration as Client, are fully filled
         in.
        Give clear and unambiguous instructions to your broker / agent / depository participant.
        Always insist on contract notes from your broker. In case of doubt in respect of the
         transactions, verify the genuineness of the same on the BSE website.
        Always settle the dues through the normal banking channels with the market
         intermediaries.
        Before placing an order with the market intermediaries, please check about the credentials
         of the companies, its management, fundamentals and recent announcements made by
         them and various other disclosures made under various regulations. The sources of
         information are the websites of Exchanges and companies, databases of data vendor,
         business magazines etc.
        Adopt trading / investment strategies commensurate with your risk-bearing capacity as all
         investments carry some risk, the degree of which varies according to the investment
         strategy adopted.
        Carry out due diligence before registering as client with any intermediary. Carefully read
         and understand the contents stated in the Risk Disclosure Document, which forms part of
         the investor registration requirement for dealing through brokers.
        Be cautious about stocks which show a sudden spurt in price or trading activity, especially
         low price stocks.
        There are no guaranteed returns on investment in the stock market.
        Always keep copies of all investment documentation (e.g. application forms,
         acknowledgements slips, contract notes).
        Always keep copies of documents you are sending to companies, Trading Member,
         Registrar and Transfer Agent, etc.
        Send important documents by a reliable mode (preferably through registered post) to
         ensure delivery.
        Ensure that you have money before you buy.
        Ensure that you are holding securities before you sell.
        Follow up diligently and promptly e.g. If you do not receive the required documentation
         within a reasonable time, contact the concerned person; i.e. the Trading Member,
         company etc., immediately.
        Mention clearly whether you want to transact in physical mode or in demat mode.
        Lodge your Arbitration Application against the Trading Member, at the concerned
         Regional Investor Service Centre, by confirming geographical jurisdiction. Please use for
         the purpose, your address as intimated to your Trading Member by following due process
         of law. The details of geographical jurisdiction of each Regional Investor Service Centre
         are also available on the Contract Note. The period consumed in redressal of complaint
         thru IGRC services will not be considered while measuring period of ‘limitation’ in filing
        arbitration application provided the complaint and / or arbitration application is / are filed
        at the concerned Regional Investor Service Centre.
       Lodge your complaint against a company listed on BSE, at the concerned Regional
        Investor Service Centre, by confirming geographical jurisdiction. Please use your address
        for deciding the geographical jurisdiction. This will enable to process the complaint
        expeditiously.
Dont's :

       Don't deal with unregistered brokers / sub - brokers, or other unregistered intermediaries.
       Don't execute any documents with any intermediary without fully understanding its terms
        and conditions.
       Don’t file your arbitration application against trading member, in the Regional Investor
        Service Centre having no geographical jurisdiction.over the matter. Please use for the
        purpose, your address as intimated to your Trading Member by following due process of
        law
        The Exchange redresses investors’ complaints thru arbitration and IGRC mechanism,
        which are quasi-judicial in nature. The period consumed in redressal of complaint thru
        IGRC will not be considered while measuring period of ‘limitation’ in filing arbitration
        application provided the complaint is filed at the concerned Regional Investor Service
        Centre.
       Don’t file your grievance /s against companies listed on BSE, in the Regional Investor
        Service Centre having no geographical jurisdiction over the matter, for its expeditious
        redressal.Please use your address for deciding the geographical jurisdiction.
       Don't deal based on rumours or 'tips'.
       Don't fall prey to promises of guaranteed returns.
       Don't get misled by companies showing approvals / registrations from Government
        agencies as the approvals could be for certain other purposes and not for the securities
        you are buying.
       Don't leave the custody of your Demat Transaction slip book in the hands of any
        intermediary.
       Don't get carried away with advertisements about the financial performance of companies
        in print and electronic media.
       Don't blindly follow media reports on corporate developments, as some of these could be
        misleading.
       Don't blindly imitate investment decisions of others who may have profited from their
        investment decisions.
       Don't forgo obtaining all documents of transactions, in good faith even from people whom
        you know.
       Don't forget to take note of the risks involved in an investment.
       Don't get misled by guarantees of repayment of your investments through post-dated
        cheques.
       Don't hesitate to approach concerned persons and then the appropriate authorities.
       Don't get swayed by promises of high returns.

   BSE has installed a Toll Free line 1800 22 6663 at which the investors can inform on any
   specific lead with regard to any type of undesirable trading practices in any scrip or any type
   of market aberration observed by them. Investors are requested to get their messages
   recorded in English or Hindi. Identity of the investor will be kept confidential.