Miint Direct

RTG SHARE BROKING LTD
RTG FUTURE COMMODITIES PRIVATE LTD.

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INVESTOR PROTECTION

USEFUL DO'S / DON’TS FOR THE CLIENTS USEFUL DO’S / DON’TS – DEMAT DEALING IN COMMODITY FUTURES

Based on our long working experience as a Stockbroker & Depository Participant, we are of strong view that if a investor takes few precautions to safeguard his securities, unforeseen & undesirable situations may be avoided. We request you to meticulously follow the below mentioned instructions to avoid problems at a later stage.

Do’s

Do ensure to receive a Transaction cum holding statement of your BO a/c every month if you have done any transaction during the month and once a quarter if there has been no transaction in your DP a/c. Please ensure that your holding and transaction statement is received and reconciled periodically. In case of any discrepancy, contact our DP Team immediately for clarification.

Do contact our DP Team for queries / clarifications / grievances at OFFICE NO D, ALANKAR THEATRE BUILDING, 2ND FLOOR 245/247, 1ST KHETWADI LANE, SARDAR V.P. ROAD, MUMBAI – 400 004.. Telephone No.: 022 49154545, E mail: enquiry@miintdirect.com

Do contact our CR team at 022- 49154545 or enquiry@miintdirect.com for any trade related queries AND Your grievance for broking services, if any.

Do login at www.cdslindia.com to avail Easi facility of your DP a/c within 90 days from date of account opening failing which your Easi User ID will be cancelled by CDSL. Details of Easi User ID is available in our DP Welcome Letter while password would be received by you from CDSL directly at your e-mail ID registered with us at the time of account opening. (Easi facility is provided by your depository, CDSL, at their web-site whereby you can view transactions & holdings in your DP account through Internet 24x7.)

Do ensure that complete & correct address is provided to us so as to avoid return of documents. Any change in your Correspondence / Permanent Address, Telephone / Mobile number, E-mail ID, Bank details etc. must be intimated to our DP Team immediately with modification form & relevant proofs. All documents including Delivery/Debit Instruction slip (DIS) booklet & transaction statements will be sent to your correspondence address directly by us.

Do ensure to give your own Mobile number & E-mail ID for SMS Alerts & Easi facility in order to safeguard your BO account from being misused

Do ensure that each slip on DIS booklet issued to you has been pre-stamped with a serial number and your demat account number. In case you receive any booklet / slip without serial number or your account number, please return the same to us immediately.

Do ensure to keep DIS booklet of your BO a/c in safe custody just like your cheque book. In case of loss of the said booklet or any slip, please inform our DP Team immediately in writing for Stop-transfer of lost booklet / slips.

Do ensure that requisition for fresh DIS booklet is given on the Requisition Slip attached to your previous DIS booklet and is signed by all holders. As per SEBI/CDSL instructions, fresh booklet has to be given only against such Requisition Slips

Do mention all details accurately and in a legible handwriting. Avoid over-writing, cancellations, corrections, changing of the name and quantity of securities or Counter BO IDs. Authorize every correction, over- writing or cancellation on DIS by all holders signing in full against the same.

Do fill in all details of the transaction like scrip name, quantity in figures & words, number of instructions used, counterparty demat a/c number before handing your DIS to us or any third party. If there is space for multiple instructions and it is not used fully, please strike out blank space so as to avoid its misuse.

Do contact our DP Team for freeze / unfreeze of your BO a/c to enable them to send necessary forms to you in case you wish to freeze your account (e.g. if you are going abroad etc.). Freeze/ Unfreeze of your BO a/c is possible only on receipt of duly filled forms signed by all holders

Do record folio number, certificate number & distinctive numbers of securities before sending physical securities to us for demat. This information will be required for issue of duplicate share certificates in case your parcel containing certificates is lost in transit.

Do ensure that all holders sign documents like DIS slip, Demat Request form, Account Modification or Account Closure form etc. in case of BO accounts with joint holder/s

Do ensure that your instructions are received by us at least 1 day before pay-in time of the relevant exchange so as to avoid auctions due to non delivery of securities

Do deliver the securities towards your sale / margin to Miintdirects DP a/c from your own Beneficiary A/c registered with Miintdirect.

Do check your funds/securities statement sent to you at your email ID registered with CR Team.

Do request in writing or through email to our CR Team for freezing of your Broking A/c in case you do not wish to execute any security trade for a certain period (e.g. if you are going abroad etc.). Whenever you wish to re-commence transactions, you may request our CR Team to Unfreeze your Broking A/c

Don’ts

Do not authorise any other person including our Employees / Sub-broker / Authorised Person to operate your BO account on your behalf.

Do not leave your DIS booklet or blank signed slips with any third party or your broker/sub-broker.

Do not sign blank DIS as it is equivalent to a bearer cheque.

Do not share your User-ID or Password with any third party

Do not accept Transaction and/or Holding statement of your DP a/c given by any person other than that sent by our DP Team from Mumbai.

Do not execute Suspicious / Benami transactions failing which we will be compelled to report such transactions to Director FIU-IND, New Delhi under the provisions of Prevention of Money Laundering Act.

Do not give cash/cheques or transfer securities to our Associates / Employees or any other person as they are not authorised to receive funds or securities in their name.

Do not give third party cheques / DD for your purchases/ margin obligations.

Do not give third party deliveries for your sale / margin obligations.

Do not authorise any other person including our employees/Sub-broker/Authorised Person to place order on your behalf.

Do not accept any offer of assured return on your funds from any person including our employees/Sub-broker/ Authorised Person, as no one can assure return on your funds due to volatile nature of capital markets.

Based on our long working experience as a Stockbroker & Depository Participant, we are of strong view that if a BO takes few precautions to safeguard his securities, unforeseen & undesirable situations may be avoided. We request you to meticulously follow the below mentioned instructions to avoid problems at a later stage.

Do’s

Do ensure to receive a Transaction cum holding statement of your BO a/c every month if you have done any transaction during the month and once a quarter if there has been no transaction in your DP a/c. Please ensure that your holding and transaction statement is received and reconciled periodically. In case of any discrepancy, contact our DP Team immediately for clarification.

Do contact our DP Team for queries / clarifications / grievances at OFFICE NO D, ALANKAR THEATRE BUILDING, 2ND FLOOR 245/247, 1ST KHETWADI LANE, SARDAR V.P. ROAD, MUMBAI – 400 004. TelephoneNo.: 022-49154545, E mail: enquiry@miintdirect.com

Do login at www.cdslindia.com to avail Easi facility of your DP a/c within 90 days from date of account opening failing which your Easi User ID will be cancelled by CDSL. Details of Easi User ID is available in our DP Welcome Letter while password would be received by you from CDSL directly at your e-mail ID registered with us at the time of account opening. (Easi facility is provided by your depository, CDSL, at their web-site whereby you can view transactions & holdings in your DP account through Internet 24x7.)

Do ensure that complete & correct address is provided to us so as to avoid return of documents. Any change in your Correspondence / Permanent Address, Telephone / Mobile number, E-mail ID, Bank details etc. must be intimated to our DP Team immediately with modification form & relevant proofs. All documents including Delivery/Debit Instruction slip (DIS) booklet & transaction statements will be sent to your correspondence address directly by us.

Do ensure to give your own Mobile number & E-mail ID for SMS Alerts & Easi facility in order to safeguard your BO account from being misused

Do ensure that each slip on DIS booklet issued to you has been pre-stamped with a serial number and your demat account number. In case you receive any booklet / slip without serial number or your account number please return the same to us immediately.

Do ensure to keep DIS booklet of your BO a/c in safe custody just like your cheque book. In case of loss of the said booklet or any slip, please inform our DP Team immediately in writing for Stop-transfer of lost booklet / slips.

Do ensure that requisition for fresh DIS booklet is given on the Requisition Slip attached to your previous DIS booklet and is signed by all holders. As per SEBI/CDSL instructions, fresh booklet has to be given only against such Requisition Slips

Do mention all details accurately and in a legible handwriting. Avoid over-writing, cancellations, corrections, changing of the name and quantity of securities or Counter BO IDs. Authorize every correction, over- writing or cancellation on DIS by all holders signing in full against the same.

Do fill in all details of the transaction like scrip name, quantity in figures & words, number of instructions used, counter-party demat a/c number before handing your DIS to us or any third party.. If there is space for multiple instructions and it is not used fully, please strike out blank space so as to avoid its misuse.

Do contact our DP Team for freeze / unfreeze of your BO a/c to enable them to send necessary forms to you in case you wish to freeze your account (e.g. if you are going abroad etc.). Freeze/ Unfreeze of your BO a/c is possible only on receipt of duly filled forms signed by all holders

Do record folio number, certificate number & distinctive numbers of securities before sending physical securities to us for demat. This information will be required for issue of duplicate share certificates in case your parcel containing certificates is lost in transit.

Do ensure that all holders sign documents like DIS slip, Demat Request form, Account Modification or Account Closure form etc. in case of BO accounts with joint holder/s

Do ensure that your instructions are received by us at least 1 day before pay-in time of the relevant exchange so as to avoid auctions due to non delivery of securities

Don’ts

Do not authorise any other person including our Employees / Sub-broker / Authorised Person to operate your BO account on your behalf.

Do not leave your DIS booklet or blank signed slips with any third party or your broker/sub-broker.

Do not sign blank DIS as it is equivalent to a bearer cheque.

Do not share your User-ID or Password with any third party

Do not accept Transaction and/or Holding statement of your DP a/c given by any persons other than that sent by our DP Team from Mumbai.

Do not execute Suspicious / Benami transactions failing which we will be compelled to report such transactions to Director FIU-IND, New Delhi under the provisions of Prevention of Money Laundering Act

Do’s

Familiarize yourself with all the provisions of Forward Contracts (Regulations) Act, 1952 dealing with futures trading in commodities and amendments thereof from time to time. Understand the provisions and rates relating to the sales tax, value added tax, APMC Tax, Mandi Cess and Tax, octroi, excise duty, stamp duty, etc., as applicable on the underlying commodity of any contracts offered for trading by MCX.

Read, understand and be updated about the guidelines and circulars of the Exchange and of the Forward Markets Commission issued from time to time and kept on the respective websites.

Read the commodity contracts circulars issued & kept on MCX website and carefully note the contract specifications of the commodity in which you wish to trade. The contract specifications are subject to change from time to time.

Before entering into buy and sell transactions please be aware of all the factors that go into the mechanism of pricing, trading, clearing and settlement.

Read the product note of the commodity in which you wish to deal to understand the commodity and parameters that impact on the trading and settlement of the commodity.

Understand the Delivery & Settlement Procedures given in the Exchange Circular of the commodity kept on the Exchange website that you wish to deal in the futures market.

Study historical and seasonal price movements of the commodity that you wish to deal in the futures market.

Keep track of Governments' Policy announcements from time to time of the commodity that you wish to deal in the futures market.

Apply your own prudent judgment for investments in commodity futures and take informed decisions.

Comply with Taxation and other Central Government/State Governments regulatory issues.

Go through all Rules, Bye Laws, Regulations, Circulars and directives issued by MCX.

Since futures trading attract various types of margins, be aware of the risks associated with your positions in the market and margin calls made from time to time.

Collect/Pay Mark-to-Market margins Cheque on your futures positions on a daily basis from/to your Member.

Be aware of your risk taking ability and fix stop-loss limits. Liquidate your positions at such levels to reduce further losses, if any.

In case of any doubt/problems, contact Exchange's Help Desk or email at ……

Do contact our CR team at OFFICE NO D, ALANKAR THEATRE BUILDING, 2ND FLOOR 245/247, 1ST KHETWADI LANE, SARDAR V.P. ROAD, MUMBAI – 400 004. Telephone No.: 022-49154545, E mail: enquiry@miintdirect.com

Do insist on getting Client Code and ensure all your trades are done under the said Client Code.

Do cross check the genuineness of trades carried out at MCX through the trade verification facility available on MCX website.

The trades can be verified online at http://www.mcxindia.com/SitePages/TradeVerification.aspx where trade information is available up to 5 working days from the trade date

Don’ts

Do not fall prey to market rumours.

Do not go by any explicit/ implicit promise made by analysts/ advisors/ experts/ market intermediary until convinced.

Do not take trading decisions based on reports/ predictions made in various print and electronic mediums without proper evaluation.

Do not deal based on Bull/Bear run of commodity markets sentiments.

Do not trade on any product without knowing the risks associated with it.

Do not execute Cash / Suspicious / Benami transactions failing which the Member will be compelled to report such transactions to Director FIU-IND, New Delhi under the provisions of Prevention of Money Laundering Act.

Do not authorise any other person including the Member's employees/Authorised Person to place order on your behalf.

However, if authority to place order on your behalf is given to a third person, then please ensure to check contract notes, financial details and other documents sent to you, as loss, if any, for trades executed on your behalf by a third person will have to be fully borne by you only.

For any queries/issues/disputes, please contact at grievance@miintdirect.com for your grievance and services, if any.

ALSO WE WOULD LIKE INVESTORS TO GO AND REFER TO WATCHOUTINVESTORS.COM

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    2)Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day......................issued in the interest of investors." | "No need to issue cheques by investors 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."
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. | No need to issue cheques by investors 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.
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