SMIFS

World Investor Week October 06–12, 2025 being celebrated under the aegis of IOSCO and SEBI. | विश्व निवेशक सप्ताह 06–12 अक्टूबर, 2025 - आयस्को तथा सेबी की छत्रछाया में मनाया जा रहा है। | As stated in the newcircularfrom NSE, additional margins shall be made applicable for all equity derivatives in phases starting from 14th September 2018 | Attention Investors:1.KYC: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. |2.Prevent Unauthorized Transactions in your Demat Account :Update your Mobile Number and Email address with your Depository Participant. Receive alerts on your Registered Mobile and Email address for all debit and other important transactions in your Demat Account directly from CDSL/ NSDL on the same day.... issued in the interest of investors. |3. Prevent Unauthorized Transactions in your Broking Account :For Stock Broking Transaction 'Prevent unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day...Issued in the interest of Investors. | 4."Rights & Obligations of Stock Broker and Client”:Uniform Risk Disclosure Documents (for all segments / exchanges) and Guidance Note detailing the Do’s and Don’ts for trading on exchanges in the vernacular languages are available on NSE website athttps://www.nseindia.com/membership/content/complinc_trading_mem.htmand can be downloaded. |5. Caution towards unsolicited messages:Please Refer Exchange Circulars: BSE Notice 20171117-18 dated 17-11-2017, BSE Notice 20180515-39 dated 15-05-2018, NSE Circular- 0208/2017 dated, 17-11-2017 NSE Circular: 0080/2018 dated 15-05-2018. Beware about unsolicited messages and refer the List of symbols in which messages received, appearing on Exchange Website :https://www.nseindia.com/andhttps://www.bseindia.com/. Investors should be cautious on unsolicited emails and SMS advising to buy, sell or hold securities and trade only on the basis of informed decision. Investors are advised to invest after conducting appropriate analysis of respective companies and not to blindly follow unfounded rumours, tips etc. Further, you are also requested to share your knowledge or evidence of unethical behaviour, systemic wrongdoing or potential frauds through the anonymous portal facility provided on BSE & NSE website. |6. IPO:No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign the application form to authorize you bank to make payment in case of allotment. No worries for refund as the money remain in investor's account. |7. “SMIFS Limitedas a Broker does not guarantee any return on investment or trading as the return on Investment and/or trading are subject to Market Risk”. |8. SCORES:Filing complaints on SCORES - Easy & quick | a. Register on SCORES Portal | b. Mandatory details for filing Complaints on SCORES - Name, PAN, Address, Mobile Number, Email ID | c. Benefits - Effective Communication and Speedy Redressal of the Grievances.9.a. Stock Brokers can accept securities as margin from clients onlyby way of pledge in the depository system w.e.f. September 1, 2020.| b.Update your mobile number & email Idwith your Stock Broker/Depository Participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. | c.Pay 20% upfront marginof the transaction value to trade in cash market segment. | d. Investors may please refer to the Exchange'sFrequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020and other guidelines issued from time to time in this regard. | e. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month. World Investor Week 2021 | November 22-28, 2021 | Investing with Knowledge – Way to Financial Independence | Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020. | Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. | Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month. .......... Issued in the interest of Investors" | All clients are requested to record their email id for electronic despatch of contract and statement.