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    Investor Corner

    SEBI-mandated disclosures, investor-protection advisories and official grievance channels for clients of Shri Parasram Holdings Pvt. Ltd. (SEBI Reg: INZ000220838) - Panipat branch. Firm-level documents link to the official versions on parasramindia.com.

    Risk Disclosure on Derivatives

    As mandated by SEBI, every investor must note (source: SEBI study on equity F&O traders):

    • 9 out of 10 individual traders in the equity Futures and Options segment incurred net losses.
    • On an average, loss makers registered net trading loss close to ₹50,000.
    • Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.
    • Those making net trading profits incurred between 15% to 50% of such profits as transaction cost.

    Advisory for Investors

    No guaranteed returns

    Beware of fixed / guaranteed / regular-return or capital-protection schemes. Brokers, their authorised persons, and associates are NOT authorised to offer guaranteed returns or enter into loan agreements paying interest on your funds. Claims arising from such arrangements are not accepted by the Exchange in case of a member default.

    Don't keep funds idle with the broker

    Your stock broker must return any credit balance within three working days if you have not traded in the last 30 calendar days. Claims for idle funds without exchange transactions are not accepted in case of a member default.

    Check your settlement frequency

    If you opted for a running account, ensure your broker settles it at least once in 90 days (or 30 days if opted). Claims of clients of a defaulter member are subject to Investor Protection Fund eligibility norms published on the NSE, BSE and MCX websites.

    Securities as margin only via margin pledge

    Brokers cannot accept transfer of securities as margin. Securities offered as collateral must remain in your account and can only be pledged to the broker through the Depository 'margin pledge' system. Brokers may take client securities only towards settlement of securities sold.

    Keep contact details updated

    Keep your mobile number and email updated with the broker for Exchange records. If you stop receiving Exchange/Depository messages, take it up with the broker or Exchange immediately.

    Verify Exchange messages

    Do not ignore emails/SMS from the Exchange about your trades. Verify them against contract notes and statements, compare weekly fund/securities balance messages, and report any discrepancy to the broker in writing - escalating to the Exchange/Depository if unresolved.

    Transfer funds only to a SEBI-registered broker

    Never transfer trading funds to anyone else - including an authorised person or broker associate. Abstain from unauthorised collective-investment or portfolio-management schemes promising indicative, guaranteed or fixed returns.

    KYC is a one-time exercise while dealing in the securities market. Once KYC is done through a SEBI-registered intermediary, you need not undergo the same process again when you approach another intermediary. Prevent unauthorised transactions - keep your mobile number and email updated with your broker and depository participant, and verify every alert you receive.

    Do's & Don'ts for Investors

    Do's

    • Trade only through registered members of the Exchange. Check with the exchange whether the member is registered.
    • Insist on filling up a standard 'Know Your Client (KYC)' form and on getting a client code.
    • Insist on reading and signing the standard 'Risk Disclosure Agreement'.
    • When trading through an authorised person, ensure a duly signed contract note is issued for every executed trade with your unique client code.
    • Scrutinise minutely both the transaction and holding statements you receive from your Depository Participant.
    • Read, understand and stay updated on the guidelines and circulars of the Exchange and SEBI.
    • Be aware of your risk-taking ability and fix stop-loss limits; liquidate positions at those levels to limit losses.
    • Collect/pay mark-to-market margins on your futures positions on a daily basis.
    • Understand the risks and margin calls associated with margin-based positions.
    • Go through all Rules, Bye-Laws, Regulations and circulars issued by the Exchanges and SEBI.
    • Apply your own prudent judgement and take informed investment decisions.

    Don'ts

    • Do not start trading before reading and understanding the Risk Disclosure Agreement and entering into the prescribed agreement with the member.
    • Do not deal with unregistered intermediaries, even if their charges or margins are lower.
    • Do not get carried away by luring advertisements, rumours, hot tips, or promises of unrealistic returns.
    • Do not forget to take note of the risks involved in an investment.
    • Do not sign blank Delivery Instruction Slips (DIS) or leave them with your DP or broker to save time.
    • Do not give or enter into cash transactions.
    • Do not trade any product without knowing the risks and rewards associated with it.

    Voluntary Freezing / Blocking of Trading Account

    Per SEBI circular SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 (January 12, 2024), you can voluntarily freeze, block or deactivate your trading account at any time through these official firm channels:

    stoptrade@sphpl.com
    From your registered email ID
    011-4700-0064
    From your registered mobile number

    You can also freeze via the "Parasram Trade" mobile app (Important Links) or the official form on parasramindia.com. To reactivate, log in and use the "Reactivation of trading account" option under Update KYC. Helpdesk: 011-4700-0000 (Ext 64/65/66) · kyc@sphpl.com

    Grievance Redressal - Escalation Path

    1. 1. Your branch / dealer
      Contact the Panipat branch first: +91 94164 00314 · parasrampnp@gmail.com
    2. 2. Firm compliance desk
      Escalate to Shri Parasram Holdings Pvt. Ltd.: compliance@sphpl.com · 011-4700-0000
    3. 3. Stock Exchange
      NSE / BSE / MCX investor-services cell if the firm's response is unsatisfactory
    4. 4. SEBI SCORES
      File on scores.sebi.gov.in - complaints are tracked and time-bound
    5. 5. SMART ODR
      Online conciliation & arbitration at smartodr.in when other channels are exhausted