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The Financial Kaleidoscope - News -August 2016
1. Presently, a stock broker/ depository participant is required to provide a copy of the following standard documents, which are part of the account opening kit, to the clients:
a. Rights & Obligations of stock broker, sub-broker and client for trading on exchanges (including additional rights & obligations in case of internet/ wireless technology based trading);
b. Rights and Obligations of beneficial owner and depository participant as prescribed by SEBI and depositories;
c. Uniform Risk Disclosure Documents (for all segments/ exchanges); and
d. Guidance Note detailing Do’s and Don’ts for trading on stock exchanges.
2. In consultation with market participants, with a view to simplify the account opening kit, SEBI has decided that, stock broker/ depository participant shall make available these standard documents to the clients, either in electronic or physical form, depending upon the preference of the client as part of account opening kit. The preference of the client shall be sought as part of the account opening form. In case the documents are made available in electronic form, stock broker/ depository participant shall maintain logs of the same.
Further details about this circular are posted on NSDL website www.nsdl.co.in
(Ref: Circular No. NSDL/POLICY/2016/0067 dated July 22, 2016)
During July 2016, one more Participant has subscribed to the SPEED-e facility viz.,
Sanctum Wealth Management Private Limited (DP ID IN303956)
Clients of the above mentioned Participants can now avail the facility of submitting various instructions through SPEED-e facility.
This takes the total number of Participants who have subscribed to SPEED-e to 186.
- Investor Awareness Programmes:
In order to reach out to investors that are spread across the country and to apprise them about the facilities available in NSDL depository system and the awareness on stock markets, NSDL conducts various Investor Awareness Programmes jointly with it’s Depository Participants (DPs) & with Institutions like SEBI, NSE etc. NSDL also conducts various training programmes for its Depository Participants (DPs) on Depository related services. During July 2016, NSDL conducted 32 Investor Awareness Programmes with Participants, College Institutions & SEBI. These programmes were attended by more than 2,000 investors, details as mentioned below:
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