No Caption Downloads
1. KYC Documentation Policy Download
2. PMS Disclosure Document Download
3. Client Guidance Notes Equity Download
4. Client Guidance Notes Commodity Download
5. Client Guidance Notes Mutual Funds Download
6. Disclosure of Proprietary Trading and “Pro – account” Trading terminal Download
7. Elite Internal Control Procedure Download
8. Red Flag Indicators Download
9. PMLA POLICY

Download

10. RMS POLICY Download
11. Inactive Account Policy (Revised) Download
12. Client Code Modification Policy Download
13. Surveillance Policy Download
14. Policy for Limit Setting Download
15. Policy for Conflict of Interest Download
16. Annual Return Download
17. Investor Charter – Depository Participant Download
18. Investor Charter – Portfolio Management Services Download
19. Investor Charter – Stock Brokers Download
20. Investor Charter – Research Analyst Download

Important Circulars

No Caption Downloads
1. Creation of Segregated portfolio in UTI Download
2. Declaration of Dividend in Canara Robeco Mutual Fund Schemes Download
3. NSE Circular: Actual Settlement Download
4. SEBI Circular: Enhanced Supervision Point No. 2.6 for T+2+5 Limit exposure Download
5. SEBI Circular: Circular on Risk management framework for liquid and overnight funds Download
6. L&T MF Sales note RCL Sep 19 2019 Compliance Download
7. HDFC MF Quarterly and Half Yearly Dividend Record date Download
8. Reliance Nippon Life Asset Management Limited Dividend Declaration Download
9. Reliance Nippon Life Asset Management Limited Media Release Download
10. Redemption of Circular Download
11. RTA Migration Karvy – Emailer Partner Download
12. Segregation FAQ Download

FILING COMPLAINTS ON SCORES - EASY & QUICK

a. Register on SCORES portal

b. Mandatory details for filing complaints on SCORES:
i. Name, PAN, Address, Mobile Number, E-mail ID

c. Benefits:
i. Effective communication
ii. Speedy redressal of the grievances

SEBI : https://www.scores.gov.in/scores/complaintRegister.html