Investor Complaints

Promotion and popularization of Investor Mobile Application by Depositories

Dear Investor,

In order to enhance investor awareness, transparency and ease of access to information relating to securities holdings, the Depositories (CDSL/NSDL), in co-ordination with SEBI, have upgraded their respective investor applications (link of mobile application mentioned below) providing a consolidated, bird’s eye view of investors’ holdings in securities markets.

The salient features of the applications are as follows:

Consolidated view of securities of client across both the Depositories eliminating the need for multiple login
Transaction and holding statements at one place improving portfolio management by investors.
Monitoring of open positions and margin details across Stock Exchanges and Clearing Corporations.
Option to exercise E-voting on company resolutions.
Access to recommendations of proxy advisers on resolutions.

We urge you to download the applications from the links given below and take benefits of the applications.

CDSL – MyEasi App

https://apps.apple.com/in/app/cdsl-myeasi-app/id6737304195

https://play.google.com/store/apps/details?id=com.cdsl.myeasi

NSDL – Speede App

https://apps.apple.com/in/app/nsdl-speede-app/id922834763

https://play.google.com/store/apps/details?id=com.msf.NSDL.Android

RISK DISCLOSURES ON DERIVATIVES

9 out of 10 individual traders in equity Futures and Options Segment incurred net losses.
On an average, loss makers registered net trading loss close to Rs. 50,000
Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.
Those making net trading profits, incurred between 15% to 50% of such profits as transaction cost.

Source:

SEBI study dated January 25, 2023 on “Analysis of Profit and Loss of Individual Traders dealing in equity Futures and Options (F&O) Segment”, wherein Aggregate Level findings are based on annual Profit/Loss incurred by individual traders in equity F&O during FY 2021-22.

https://www.sebi.gov.in/reports-and-statistics/research/jan-2023/study-analysis-of-profit-and-loss-of-individual-traders-dealing-in-equity-fando-segment_67525.html

Precautions for clients 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 M/S DHAN STOCK AND SHARE BROKERS PRIVATE LIMITED. 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.

For your necessary action and Information.

By order

M/S DHAN STOCK AND SHARE BROKERS PRIVATE LIMITED

Compliance Department

“Issued in the interest of Investors”

Investments in securities market are subject to market risks; read all the related documents carefully before investing.
Stock Broker can accept securities as margin from clients only by way of margin pledge in the depository system w.e.f. September 01, 2020.
Update your email id and mobile number with your depository participant and receive OTP directly from depository on your email id and/or mobile number to create margin pledge.
Client’s consent through OTP (One Time Password) for all off market transfer including inter depository transfer (IDT) has become mandatory with effect from November 1, 2020.
Effective from January 9, 2020, all off-market transfers with reason codes ‘sale’ and ‘Commercial Paper Issuance’ shall be executed only after remitting stamp duty in NSDL Account.
Prevent unauthorized transactions in your account ---Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day.
"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.
Check your Securities/MF/Bonds in the Consolidated Account Statement issued by NSDL/CDSL every month.

..........Issued in the interest of Investors"

Investor Complaints Documents

Complaint Details August -2026