RK Global

Awareness & Advisory

• Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within the last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Check the frequency of accounts settlement opted for. If you have opted for a running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days’ settlement). In case of declaration of a trading member as a defaulter, the claims of clients against such a defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on the Exchange website at the following link: https://www.nseindia.com/invest/about-defaulter-section.
• Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Brokers can take securities belonging to clients only for settlement of securities sold by the client.
• Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker / Exchange if you are not receiving the messages from Exchange / Depositories regularly.
• Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.
• Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by the broker and immediately raise a concern to the exchange if you notice a discrepancy.
• Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.

Attention Investors:

• 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 the depository on your email id and/or mobile number to create a 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 dispatch of contract and statement. In case of electronic contract note, the link/login for the same is available on the website for download.
• Pay 20% upfront margin of the transaction value to trade in the cash market segment. 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.
• No need to issue cheques by investors while subscribing to an IPO. Just write the bank account number and sign in the application form to authorize your bank to make payment in case of allotment. No worries for refund as the money remains in the investors account
• Submit application letter along with photocopy of PAN and address proof requesting activation of Dormant Account.
• All clients are requested to provide the NEFT details of your bank account for receiving direct credit to your account by online mode. Please submit a cancel cheque in your operating branch.

Notice for investors dealing in Options

Dear Clients,

NSE Vide its circular dated July 06, 2022 has informed the trading members to carry out due diligence of all those clients wishing to trade in derivative segment of the Exchange more specifically in the Options segment to avoid any kind risk/threat that may occur as the derivative Products are not designed for general Public whose Income does not support the trade Position in Options.

Further in line with this circular all clients trading in derivative segments are informed to kindly update your financial details/income with us so as to avoid disallowance of trading in derivative Products.

Our compliance department will analyse the Income details with the turnover and in case of any serious deviation your account will be blocked for trading in derivative Products and it will be at the sole discretion of R K Global Shares & Securities Ltd.

Further Please also note that following actions needs your attention at all times and request you to desist from following activity to ensure smooth Operations of your trading account maintained with us.

• Sharing of trading credentials – login id & passwords including OTP’s.
• Trading in leveraged products like options without proper understanding, which could lead to losses.
• Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks.
• Dealing in unsolicited tips through WhatsApp, Telegram, YouTube, Facebook, SMS, calls, etc.
• Trading in “Options” based on recommendations from unauthorised / unregistered investment advisors and influencers.

Investor Awareness Notice w.r.t Smart ODR

What is SMART ODR?

The SMART ODR (Online Dispute Resolution Portal) is an investor-friendly, fully digital platform introduced by SEBI to resolve disputes between investors and market intermediaries in a fast, cost-effective, and transparent manner. This platform enables online conciliation and arbitration, making the dispute resolution process seamless and accessible from anywhere.

Key Highlights:

• 100% Online – No paperwork or physical visits
• Quick and Transparent – Time-bound resolution process.
• For All Investors – Retail and institutional clients.
• Covers Brokers, Depository Participants, AMCs, RTAs, etc.

How to Use the SMART ODR Platform?

• First, raise your complaint directly with us (the market participant).
• If not resolved satisfactorily, escalate via SEBI SCORES (https://scores.gov.in).
• If still unresolved, initiate dispute resolution via the SMART ODR Portal:
  • Visit: https://smartodr.in
  • Register / Login
  • Submit your complaint and documents
  • Track resolution status online

Who Can Use SMART ODR?

• Investors (retail and institutional)
• Clients of stock brokers, DPs, AMCs, RTAs, etc.
• Any party involved in securities market-related disputes

Why Does It Matters?

• This initiative by SEBI enhances investor protection and provides an efficient grievance redressal mechanism for disputes involving market entities.
• As a responsible market participant, we encourage all our clients to utilize the SMART ODR platform for resolution of unresolved issues.

Issued in public interest: As per SEBI Circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145

Notice on Collection of Upfront Margin from 1 Aug, 2020 in Cash Segment

• It is to inform you that SEBI Vide circular dated August 01, 2019; February 25, 2020 has made Margin collection (Initial Margin; M2M) mandatory for trading in Cash/Equity Segment effective August 01,2020 failing which Penalty will be levied by the Exchanges for not meeting the Margin requirement.
• Therefore, in compliance with the same, we request all the clients to provide us the sufficient margin either in the form of Funds and or securities before undertaking any trade on the Exchange through us. Moreover, it is also applicable for intraday trades undertaken by the client.
• We request you to provide the securities in our client Collateral account if you wish to undertake the trade and comply with the SEBI requirement of fulfilling the Margin obligation requirement in Cash Segment (Applicable on both Delivery & Non-Delivery).
• It is also reiterated that SEBI circular also envisages that the Shares can be given for Margin to the Stock broker through Pledge Instruction only initiated through depository System.
• Therefore in lieu of the same any charges levied by the Depository will be simultaneously charged to clients on actual basis.
• Therefore, we request you to kindly Provide us the Margin as required through SEBI circular as mentioned above in order to meet the margin requirement as applicable for trading in the Cash segment.