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INVESTOR CHARTER

Investor Charter

Depository Participant

Investor CharterInvestor Complaint

Date

Caption

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31-Dec-21

INVESTOR CHARTER- DEPOSITORY PARTICIPANT

Attention Investors:

Prevent unauthorised transactions in your account --> Update your mobile numbers/email IDs with us. Receive information of your transactions directly from Exchange and Depositories on your mobile/email at the end of the day Issued in the interest of Investors. | | Trading accounts, without any transactions for more than 1 year, would stand deactivated for trading. Account would be reactivated only upon confirmation by the client and verification of his/her registered details. | | 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. | | Investors need not issue cheques 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." | | As per circulars issued by NSDL & CDSL, Customers are requested to link their Aadhaar number with their existing Demat account. Please submit a self attested copy of Aadhaar Card at your nearest branch or email the soft copy to customercarewm@chola.murugappa.com from your registered email id.

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 notice no. 20200731-7 dated July 31, 2020 and 20200831-45 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.

Update your email id in the demat account for participating in the e-voting process of all listed entities in which you are holding shares, without having to register again with the e-voting service providers of each of the listed entity.

6-KYC attributes that are mandatory for existing accounts | | Pls update the following 6 KYC fields of your account to avoid de-activation of the same by 30 September 2021 : | | Name | | Complete Address including PIN (PIN code No. in case of address of India) | | PAN | | Valid mobile number | | Valid email-id | | Income details/range

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 link: | | BSE: https://www.bseindia.com/static/investors/Claim_against_Defaulter.aspx | | NSE: https://www.nseindia.com/invest/about-defaulter-section | | 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.

Procedure to file a complaint on SEBI SCORES: Register on SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID.
Benefits: Effective Communication, Speedy redressal of the grievances.

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SEBI : BROKING INZ000168236 Research Analyst - INH200000402 DP Operations : IN –DP-556-2021 AMFI No – ARN-52825 IRDAI Registration No (Corporate Agent): CA0618

Brokerage will not exceed the SEBI prescribed limit. Investment in securities market are subject to market risks, read all the related documents carefully before investing.

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