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 |
mbb@shribrijsecurities.com |
|
2. |
Keshav Mangalchand Biyani |
9819332324 |
kmb@shribrijsecurities.com |
|
3. |
Saroj Mangalchand Biyani |
9821311099 |
|
Name |
Mobile number |
Email id |
|
|
Compliance Officer |
Sapna Keshav Biyani |
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 |
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 BIYANI |
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
