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AUTHORISED PERSON

A sub-broker is the intermediary between the investor and the stock exchange. The main role of a sub-broker is to assist them and help them gain a client base. In return, the sub-broker gets a certain cut.

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Who Regulates Authorised Person in India?

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ATTENTION INVESTORS
  • 1.Disclaimer: Investment in securities market are subject to market risks, read all the related documents carefully before investing.
  • 2. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
  • 3. 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. 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.
  • 4."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." Pay 20% upfront margin of the transaction value to trade in cash market segment
  • 5. Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.
  • 6.Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month. .......... Issued in the interest of Investors"
  • 7.As per the SEBI circular the deadline for providing the choice of nomination details has been extended to September 30, 2023.
  • 8.Filing complaint on SEBI SCORES – Easy & quick a. Register on SCORES portal. b. Mandatory details for filing complaints on SCORES - Name, PAN, Address, Mobile Number, E-mail ID.

SEBI REGN. NO. : INZ000009936

NSE-CM, F&O & CURRENCY:90151

BSE-CM ,F&O & CURRENCY: 6616

MCX : 55800

Depository:

SEBI REGN. NO.: IN-DP-434-2019

CDSL : 12089600

SEBI Research Analyst Regn. No :INH000015145

Details

COMPLIANCE OFFICER : (Broking & DP)

Neetu Arora

Email: COMPLIANCE@RSWEALTH.IN
PH. NO.: +91-11-40821527

Useful link

COMPLAINTS/SUGGESTIONS

For any complaints pertaining to securities broking please write to grievance@rswealth.in, Please ensure you carefully read the Risk Disclosure Document as prescribed by SCORES | INVESTOR CHARTED FOR DEPOSITORIES PARTICIPANTS | INVESTOR CHARTED FOR STOCK BROKER | INVESTOR CHARTED FOR RESEARCH ANALYST

 

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