Investor Complaints, Commodity Trading Accounts Online, SEBI

"Prevent Unauthorized Transactions in your demat account - Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day issued in the interest of investors. KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary. No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account. Disclaimer: Investment in Securities and Commodity Market are subject to market risk. There is no guaranteed return in this market."

"Attention Investors: * Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020. * Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. * Pay 20% upfront margin of the transaction value to trade in cash market segment. * Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard. * Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month. Issued in the interest of Investors"

Dear Investor,

As you are aware, under the rapidly evolving dynamics of financial markets, it is crucial for investors to remain updated and well-informed about various aspects of investing in securities market. In this connection, please find a link to the BSE Investor Protection Fund website where you will find some useful educative material in the form of text and videos, so as to become an informed investor.

https://www.bseipf.com/investors_education.html

We believe that an educated investor is a protected investor !!!

Abans Securities Private Limited
Stock Broker Name	Registration Number	Registered Address	Contact Number	Email Id
BSE - Capital Market \| Future & Options \| Currency Derivatives \| Commodity Market \| WDM I SLB I Membership No : 3287	SEBI Reg No : INZ000194431	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
NSE - Capital Market \| Future & Options \| Commodity Market \| WDM I SLB I Membership No : 13494	SEBI Reg No : INZ000194431	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
NSE - Currency Derivatives \| Membership No : 13323	SEBI Reg No : INZ000194431	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
MSEI - Currency Derivatives \| Membership No : 62100	SEBI Reg No : INZ000194431	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
CDSL - Depository Participant \| DP ID : 64800	SEBI Reg No : IN-DP-12-2015	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
NSDL -Depository Participant \| DP ID : IN304383	SEBI Reg. No : IN-DP-12-2015	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
MCX - Commodity Market \| Membership No : 56690	SEBI Reg No .INZ000194431	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in

Abans Broking Services Private Limited
Stock Broker Name	Registration Number	Registered Address	Contact Number	Email Id
MCX - Commodity Market \| Membership No. : 40385	SEBI Reg. No. : INZ000032733	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
NCDEX - Commodity Market \| Membership No. : F00681	SEBI Reg. No. : INZ000032733	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
PMS	SEBI Reg. No. : INP000006484	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
AMFI - Mutual Fund Distributor \| ARN160670		36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
Research Analyst	SEBI Reg. No. : INH000006369	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
NSE - Currency Derivatives \| Membership No. : 90173	SEBI Reg. No. : INZ000032733	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
BSE - Currency Derivatives \| Membership No. : 4096	SEBI Reg. No. : INZ000032733	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
ICEX - Exchange \| Membership No. : 2076	SEBI Reg. No. : INZ000032733	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in

Abans Commodities (India) Private Limited
Stock Broker Name	Registration Number	Registered Address	Contact Number	Email Id
MCX - Commodity Market \| Membership No. : 28595	SEBI Reg. No. : INZ000059831	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
Investment Adviser	SEBI Reg. No. INA100015285	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in

Abans Global Broking (IFSC) Private Limited
Stock Broker Name	Registration Number	Registered Address	Contact Number	Email Id
INDIA INX - Currency Derivatives \| Membership No : 5025	SEBI Reg No : INZ000198632	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in
IIBX - Bullion Trading Member \| Membership No : 2006	IFSCA Reg No : IFSCA/Bullion TM -CM /2021-22 /2006	36, 37, 38A, 3rd Floor, 227 Nariman Bhavan, Backbay Reclamation, Nariman Point, Mumbai - 400 021	+91-022-68170100	compliance@abans.co.in

“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 the 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 links:

https://www.nseindia.com/invest/about-defaulter-section

https://www.bseindia.com/static/investors/Claim_against_Defaulter.aspx

https://www.msei.in/Investors//Defaulter_Claims

https://www.mcxindia.com/Investor-Services/defaulters/sop-process-faqs-for-handling-of-claims-of-investors-of-defaulter-member

https://ncdex.com/investor-services/defaulter-member

▪ Stock 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.

▪ Do not deal with unregistered intermediaries (who are not registered with SEBI/Exchanges).

Investors Complaints

“Attention Investors!