Mandatory Document

'Mandatory Documents as prescribed by SEBI and Exchanges

Client Information
Margins
Transaction and Settlements
Brokerage
Liquidation and close out of position
Dispute Resolution
Termination of relationship
ADDITIONAL RIGHTS AND OBLIGATIONS
ELECTRONIC CONTRACT NOTES (ECN)
LAW AND JURISDICTION
INTERNET & WIRELESS TECHNOLOGY BASED TRADING FACILITY PROVIDED BY STOCK BROKERS TO CLIENT(All the clauses mentioned in the 'Rights and Obligations' document(s) shall be applicable. Additionally, the clauses mentioned herein shall also be applicable.)
Anti Money Laundering (AML) Education

Dear Customer,

In response to the international community’s growing concern about the problem of money laundering and potential terrorist financing, many countries around the world are enacting or strengthening their laws and regulations regarding this subject.

In this regard Anti Money Laundering Act, 2002 was passed by Indian Parliament in the year 2002 and the Act became effective from July 1, 2005.

The Act specifies statutory duties for Banking companies, Financial Institutions and Intermediaries. The compliance with these duties is intended to supplement the law enforcement authorities’ activities, to detect proceeds derived from serious crimes and help to effectively prevent money laundering, terrorist financing, and recycling of illegally obtained money.

In this context our valuable clients are requested to cooperate with us for a flawless KYC process and produce genuine and acceptable identity and address proofs. Reliance Securities is committed to pursuing its Anti - Money Laundering strategies, goals and objectives on an ongoing basis and maintaining an effective Anti - Money Laundering program for its business that reflects the best practices for a diversified, retail financial services firm.

For further insights please refer to our website. URL: Insights Customer care Downloads AML Presentation for Investor Education.

General Clause
Beneficial Owner information
Fees/Charges/Tariff
Dematerialization
Separate Accounts
Transfer of Securities
Statement of account
Manner of Closure of Demat account
Default in payment of charges
Liability of the Depository
Freezing/ Defreezing of accounts
Redressal of Investor grievance
Authorized representative
Law and Jurisdiction

This document contains important information on trading in Equities/Derivatives Segments of the stock exchanges. All prospective constituents should read this document before trading in Equities/Derivatives Segments of the Exchanges.

Stock exchanges/SEBI does neither singly or jointly and expressly nor impliedly guarantee nor make any representation concerning the completeness, the adequacy or accuracy of this disclosure document nor have Stock exchanges /SEBI endorsed or passed any merits of participating in the trading segments. This brief statement does not disclose all the risks and other significant aspects of trading.

In the light of the risks involved, you should undertake transactions only if you understand the nature of the relationship into which you are entering and the extent of your exposure to risk.

You must know and appreciate that trading in Equity shares, derivatives contracts or other instruments traded on the Stock Exchange, which have varying element of risk, is generally not an appropriate avenue for someone of limited resources/limited investment and/or trading experience and low risk tolerance. You should therefore carefully consider whether such trading is suitable for you in the light of your financial condition. In case you trade on Stock exchanges and suffer adverse consequences or loss, you shall be solely responsible for the same and Stock exchanges/its Clearing Corporation and/or SEBI shall not be responsible, in any manner whatsoever, for the same and it will not be open for you to take a plea that no adequate disclosure regarding the risks involved was made or that you were not explained the full risk involved by the concerned stock broker. The constituent shall be solely responsible for the consequences and no contract can be rescinded on that account. You must acknowledge and accept that there can be no guarantee of profits or no exception from losses while executing orders for purchase and/or sale of a derivative contract being traded on Stock exchanges

It must be clearly understood by you that your dealings on Stock exchanges through a stock broker shall be subject to your fulfilling certain formalities set out by the stock broker, which may inter alia include your filling the know your client form, reading the rights and obligations, do's and don'ts, etc., and are subject to the Rules, Byelaws and Regulations of relevant Stock exchanges, its Clearing Corporation, guidelines prescribed by SEBI and in force from time to time and Circulars as may be issued by Stock exchanges or its Clearing Corporation and in force from time to time.

Stock exchanges does not provide or purport to provide any advice and shall not be liable to any person who enters into any business relationship with any stock broker of Stock exchanges and/or any third party based on any information contained in this document. Any information contained in this document must not be construed as business advice. No consideration to trade should be made without thoroughly understanding and reviewing the risks involved in such trading. If you are unsure, you must seek professional advice on the same.

In considering whether to trade or authorize someone to trade for you, you should be aware of or must get acquainted with the following:

Basic risks:
Risk of Higher Volatility:
Risk of Lower Liquidity:
Risk of Wider Spreads:
Risk-reducing orders:
Risk of News Announcements:
Risk of Rumors:
System Risk:
System/Network Congestion

As far as Derivatives segments are concerned, please note and get yourself acquainted with the following additional features:

Effect of "Leverage" or "Gearing":
Currency specific risks:
Risk of Option holders:
Risks of Option Writers:
TRADING THROUGH WIRELESS TECHNOLOGY/ SMART ORDER ROUTING OR ANY OTHER TECHNOLOGY:
GENERAL
BEFORE YOU BEGIN TO TRADE
TRANSACTIONS AND SETTLEMENTS
IN CASE OF TERMINATION OF TRADING MEMBERSHIP
DISPUTES/ COMPLAINTS
Pursuant to SEBI’s Circular MISRD/SE/Cir-19/2009 dated December 3, 2009
Refusal of orders for penny / illiquid stocks:
Setting up client's exposure limits
Applicable Brokerage Rates:
Imposition of penalty / delayed payment charges:
Right to sell client’s securities or close client’s positions without giving notice to the client, on account of non-payment of client's dues
Shortages in obligations arising out of internal netting of trades
Conditions under which a client may not be allowed to take further position or the broker may close existing position of a client
Temporarily suspending or closing a client's account at the client's request
Deregistering a client

RSL may terminate the Stock broker client documents/Rights and Obligations in addition to termination clause in documents/Rights and Obligations in any of the following circumstances:

Policy for Dormant Accounts:
Policy for return of client assets:
DOCUMENT OF RIGHTS AND OBLIGATIONS OF THE CLEARING MEMBER/PARTICIPANT AND ITS CLIENT IN RELATION TO THE SECURITIES LENDING AND BORROWING SCHEME
RIGHTS OF THE PARTICIPANT
OBLIGATIONS OF THE PARTICIPANT
RIGHTS OF THE CLIENT
OBLIGATION OF THE CLIENT
ARBITRATION
GOVERNING LAW AND JURISDICTION
GENERAL TERMS AND CONDITIONS GOVERNING SECURITIES TRADING AND BROKING SERVICES OF RELIANCE SECURITIES LIMITED.
Definitions
General terms and conditions governing the service
Risk disclosure
Provisions applicable specifically to Web, Wired and Wireless telephone based trading services
Margins
Trading, settlement and Accounts:
Conditions governing trading in securities other than on the floor of the stock exchange
Banking / Depository relationship and Bank / Depository account(S):
Trading account and maintenance thereof

The parties hereto agree as follows:

Representations and Warranties:
Fees and Brokerage
Default
Consequences upon default
Lien / set off
Indemnity
Miscellaneous and other terms and provisions
Investment or other advice
Modifications

Any modification to these terms and conditions shall be intimated to the Client by email.

Jurisdiction
Eligibility

Individuals shall be eligible to opt for BSDA subject to the following conditions

Charges:
Services for Basic Services Demat Accounts: