Do's |
Transact only through SEBI-recognised stock exchanges |
Deal only through SEBI-registered intermediaries |
Complete all required formalities for opening an account with the broker (Client registration, Client agreement forms etc) |
Ask for and sign the “Know Your Client” Agreement |
Read and properly understand the risks associated with investing in securities before undertaking any transactions |
Assess the risk-return profile of the investment as well as the liquidity and safety aspects before making your investment decision |
Ask all relevant questions and clear your doubts with your broker before transacting |
Invest based on sound reasoning and fundamentals of the company after taking into account all publicly available information |
Give clear and unambiguous instructions to your broker/sub-broker/ depository participant |
Insist on a contract note for each of your transactions and verify all details in contract note, immediately on receipt. If in doubt, crosscheck details of your trade with details as available on the exchange website |
Scrutinize minutely both the transaction and the holding statements that you receive from your Depository Participant |
Keep copies of all investment documentation |
Handle Delivery Instruction Slips (DIS) Book issued by DPs carefully. Insist that the DIS numbers are pre-printed and your account number (Client ID) is pre stamped |
In case you are not transacting frequently, make use of the freezing facility provided for your demat account |
Pay the required margins in the prescribed time |
Deliver the shares/depository slip in case of sale and pay the money in case of purchase within the prescribed time |
Participate and vote in general meetings either personally or through proxy |