SEBI COMPLIANCE
Annexure A: Details of Mandatory display
1. Publishing of Investor Charter as per BSE circular no- 20211206-68 dated December 06, 2021 and 20220603-17 dated June 03, 2022 and display of Investor
Grievance Escalation Matix as per BSE circular no- 20221109-42 dated November 09, 2022.
- Investorgrievance@shribrijsecurities.com
2. Basic details of the Member such as registration number, registered address of Head office and branches along with Contact Number and Email id.
|
Registration Number |
|
|
SEBI Registration No |
INZ000183033 |
|
Registered Address |
SHRI BRIJ SECURITIES PRIVATE LIMITED 103, Rajendra Chambers 19, Nanabhai Lane, Fountain Mumbai – 400001 |
|
Contact Number |
9821311099 / 9819332324 |
|
Email Id |
3. Names, Mobile number, Email id etc. of all Key Managerial Personnels provided under sec. 2(51) of the Companies Act, 2013-
a. The Chief Executive Officer or the Managing Director or the Manager
b. The Company Secretary
c. The Whole-Time Director
d. The Chief Financial Officer
e. Such other officer as may be prescribed.
f. The Compliance Officer
g. Further, the Member can also identify and declare any one or more personnel as their KMP(s) from the given list as per their constitution:
Directors, Proprietor, Partners, or any other competent personnel as identified by the member.
|
No |
Directors |
Mobile number |
Email id |
|
1. |
Mangalchand Brijkishore Biyani |
9821311099 |
|
|
2. |
Keshav Mangalchand Biyani |
9819332324 |
|
|
3. |
Saroj Mangalchand Biyani |
9821311099 |
|
Name |
Mobile number |
Email id |
|
|
Compliance Officer |
Sapna Sarda |
9833134383 |
4. Step-by-step procedures for below-
Detailed write up on procedure for opening an account along with Flowchart and video (optional) if any with link.
b. Detailed write up on procedure for filing a complaint on a designated email id & finding out status of the complaint etc. along with Flowchart and
video (optional) if any.
5. Details of Authorized Persons-
a. List of Active Authorised persons to be displayed.
|
NO |
Authorized Persons |
|
1. |
Bishnu Prakash Saboo |
b. List of Authorised persons cancelled by the Members on account of Disciplinary grounds.
NO
6. Details of Bank Account
|
NO
|
ACCOUNT NAME |
BANK NAME & BRANCH |
ACCOUNT NO |
BANK IFSC CODE |
|
1. |
SHRI BRIJ SECURITIES PVT. LTD.- USCNB ACCOUNT |
AXIS BANK LTD – RANCHI BRANCH |
106010200006750 |
UTIB0000106 |
|
2. |
SHRI BRIJ SECURITIES PVT. LTD. - USCNB ACCOUNT |
AXIS BANK LTD – MUMBAI BRANCH |
004010200019682 |
UTIB0000004 |
7. Details of Demat Account
|
Sr. No. |
Account Type |
DP ID |
Client ID |
|
1. |
CDSL Principal Account |
13011900 |
00019763 |
|
2. |
CDSL Pool Account – BSE |
13011900 |
00019782 |
|
3. |
CDSL Pool Account – NSE |
13011900 |
00019778 |
|
4. |
NSDL Pool Account – NSE |
IN300484 |
10669798 |
|
5. |
NSDL Pool Account – BSE |
IN300484 |
10726920 |
Annexure B: - Formats of Mandatory display
i]Basic details of theSB such as registration number, registered address of Head Office and branches if any –
|
STOCK BROKER NAME |
Registration Number |
Registration Address |
BRANCH Number |
CONTACT NO |
EMAIL ID |
|
SHRI BRIJ SECURITIES PRIVATE LIMITED |
103, Rajendra Chambers, 19, Nanabhai Lane, Fountain Mumbai – 400001 |
nil |
9821311099 |
info@shribrijsecurities.com |
ii] Step by step procedures for opening an account, filing a complaint on designated Email ID, and finding out the status of the complaint etc.
a. Detailed write up on the procedure for opening an account (Attached in Investor education tab)
b. Detailed write up on procedure for filing a complaint on designated email id/ Toll-free number along with Flowchart and video if any (optional). Provisions are to be
made for sharing Ticket Number once the complaint is lodged.
|
Number of complaints |
Received during the month |
Resolved during the month |
Open /unresolved at the end of the month |
|
0 |
0 |
0 |
|
|
FY23-24 |
0 |
0 |
0 |
|
April 2024 |
0 |
0 |
0 |
|
May 2024 |
0 |
0 |
0 |
|
June 2024 |
0 |
0 |
0 |
|
July 2024 |
0 |
0 |
0 |
|
August 2024 |
0 |
0 |
0 |
|
September 2024 |
0 |
0 |
0 |
|
October 2024 |
0 |
0 |
0 |
c. Detailed write up on procedure for finding out status of the complaint basis Ticket Number etc. along with Flowchart and video if any (optional).
Escalation Matrix:
THIS HAS REFERENCE TO THE SEBI CIRCULAR CIR/MIRSD/16/2011 DATED AUGUST 22, 2011 ON CLIENT REGISTRATION DOCUMENTS. IN ORDER TO FACILITATE BETTER UNDERSTANDING OF THE REGISTRATION DOCUMENTS BY THE INVESTORS, EXCHANGE IS PLEASED TO PROVIDE THE FOLLOWING DOCUMENTS IN 15 REGIONAL VERNACULAR LANGUAGES:
- 1. DOCUMENT STATING THE 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)
- 2. UNIFORM RISK DISCLOSURE DOCUMENTS (FOR ALL SEGMENTS / EXCHANGES)
- 3. GUIDANCE NOTE DETAILING DO’S AND DON’TS FOR TRADING ON EXCHANGES
THE ABOVE-MENTIONED DOCUMENTS IN THE VERNACULAR LANGUAGES ARE AVAILABLE ON BSE WEBSITE AT https://www.bseindia.com/investors/client_regislanguages.aspx?expandable=3 AND CAN BE DOWNLOADED. TRADING MEMBERS ARE ADVISED TO MAKE AVAILABLE THE DOCUMENTS TO THEIR CLIENTS ON DEMAND AND ALSO DISPLAY THE SAME ON THEIR OWN WEBSITE.
|
Details of |
Contact Person |
Address |
Contact No. |
Email Id |
|
Customer care |
KESHAV BIYANI |
103 RAJENDRA CHAMBERS, 19 NANABHAI LANE OPP AKBARALLYS FOUNTAIN MUMBAI– 400001 |
9819332324 |
kmb@shribrijsecurities.com |
|
Head of Customer care |
KESHAV BIYANI |
103 RAJENDRA CHAMBERS, 19 NANABHAI LANE OPP AKBARALLYS FOUNTAIN MUMBAI– 400001 |
9819332324 |
kmb@shribrijsecurities.com |
|
Compliance Officer |
SAPNA SARDA |
103 RAJENDRA CHAMBERS, 19 NANABHAI LANE OPP AKBARALLYS FOUNTAIN MUMBAI– 400001 |
9833134383 |
info@shribrijsecurities.com |
|
MANAGING DIRECTOR |
MANGALCHAND BIYANI |
103 RAJENDRA CHAMBERS, 19 NANABHAI LANE OPP AKBARALLYS FOUNTAIN MUMBAI – 400001 |
9821311099 |
mbb@shribrijsecurities.com |
iv] Details of Authorized Persons
Details of Authorized Persons
|
SR. NO |
Authorised person's Name |
Constitution |
status |
Registered Address |
Terminal Details (Exchange Wise) |
|||||
|
approved/cancel |
ADDRESS |
CITY |
STATE |
PINCODE |
Terminal Allotte Y/N |
NO OF TERMINALS |
||||
|
1. |
Bishnu Prakash Saboo |
Individual |
Approved |
SABOO MEDICAL HALL EAST MARKET ROAD |
Ranchi |
Jharkhand |
834 001 |
Y |
2 |
|
List of Authorised Persons (AP) Cancelled by Members on Account of Disciplinary
Reasons
|
SR. NO |
Authorised person's Name |
Status |
Authorised Person's Cancellation Details |
|||
|
DATE |
REASON |
|||||
Risk disclosure with respect to trading by individual traders in Equity Futures & Options Segment
Most Important Terms and Conditions (MITC)
(For non-custodial settled trading accounts)
- Your trading account has a “Unique Client Code” (UCC), different from your demat account
number. Do not allow anyone (including your own stock broker, their representatives and
dealers) to trade in your trading account on their own without taking specific instruction from
you for your trades. Do not share your internet/mobile trading login credentials with anyone
else. - You are required to place collaterals as margins with the stock broker before you trade. The
collateral can either be in the form of funds transfer into specified stock broker bank accounts or
margin pledge of securities from your demat account. The bank accounts are listed on the stock
broker website. Please do not transfer funds into any other account. The stock broker is not
permitted to accept any cash from you. - The stock broker’s Risk Management Policy provides details about how the trading limits will
be given to you, and the tariff sheet provides the charges that the stock broker will levy on you. - All securities purchased by you will be transferred to your demat account within one working
day of the payout. In case of securities purchased but not fully paid by you, the transfer of the
same may be subject to limited period pledge i.e. seven trading days after the pay-out (CUSPA
pledge) created in favor of the stock broker. You can view your demat account balances directly
at the website of the Depositories after creating a login. - The stock broker is obligated to deposit all funds received from you with any of the Clearing
Corporations duly allocated in your name. The stock broker is further mandated to return excess
funds as per applicable norms to you at the time of quarterly/ monthly settlement. You can view
the amounts allocated to you directly at the website of the Clearing Corporation(s). - You will get a contract note from the stock broker within 24 hours of the trade.
- You may give a one-time Demat Debit and Pledge Instruction (DDPI) authority to your stock
broker for limited access to your demat account, including transferring securities, which are sold
in your account for pay-in. - The stock broker is expected to know your financial status and monitor your accounts
accordingly. Do share all financial information (e.g. income, networth, etc.) with the stock
broker as and when requested for. Kindly also keep your email Id and mobile phone details with
the stock broker always updated. - In case of disputes with the stock broker, you can raise a grievance on the dedicated investor
grievance ID of the stock broker. You can also approach the stock exchanges and/or SEBI
directly. - Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature are
prohibited by law. You will not have any protection/recourse from SEBI/stock exchanges for
participation in such schemes.