1. Regulatory Compliance
Clients are advised to familiarize themselves with the Rules, Regulations, Byelaws, and Circulars issued by The Securities and Exchange Board of India (SEBI) and respective Stock Exchanges before initiating or executing any transaction.
All transactions must be conducted strictly through recognized stock exchanges in accordance with applicable laws and regulatory requirements.
2. Client Onboarding and Due Diligence
Prior to registration as a client with Aashi Broking Private Limited, please:
- 1) Conduct thorough due diligence regarding the company, regulatory framework, and trading process.
- 2) Clarify all queries before account opening.
- 3) Carefully read and understand the Risk Disclosure Document (RDD) and Member–Client Agreement before signing.
- 4) Ensure that all information provided in the account opening form is accurate, complete, and true.
- 5) Do not leave any mandatory field blank, overwrite details, or provide incorrect information.
- 6) Submit valid and updated Permanent Account Number (PAN), email ID, Depository Participant (DP) ID, and bank account details.
- 7) Timely update any changes in your KYC (Know Your Client) details, as required under SEBI regulations.
- 6) Submit valid and updated Permanent Account Number (PAN), email ID, Depository Participant (DP) ID, and bank account details.
- 5) Do not leave any mandatory field blank, overwrite details, or provide incorrect information.
- 4) Ensure that all information provided in the account opening form is accurate, complete, and true.
- 3) Carefully read and understand the Risk Disclosure Document (RDD) and Member–Client Agreement before signing.
- 2) Clarify all queries before account opening.
3. Running Account Authorization
Please understand the implications and purpose of maintaining a running account before signing the authorization for the same.
Maintaining a running account with Aashi Broking Private Limited is not compulsory and is entirely at the client’s discretion.
4. Risk Management and Investment Conduct
- 1) Adopt investment and trading strategies that align with your financial goals and risk-bearing capacity.
- 2) All investments are subject to market risks, and the degree of risk may vary based on the strategy and instruments chosen.
- 3) Evaluate the risk-return profile, liquidity, and safety aspects of each investment before acting upon any decision.
- 4) Do not make any payments in cash or issue cheques in the name of any employee, associate, or unauthorized person. All payments must be made only in favor of “Aashi Broking Private Limited.”
- 5) Make investment decisions based on your own analysis and understanding, after reviewing publicly available and verified information.
- 4) Do not make any payments in cash or issue cheques in the name of any employee, associate, or unauthorized person. All payments must be made only in favor of “Aashi Broking Private Limited.”
- 3) Evaluate the risk-return profile, liquidity, and safety aspects of each investment before acting upon any decision.
- 2) All investments are subject to market risks, and the degree of risk may vary based on the strategy and instruments chosen.
5. Order Placement and Communication
- 1) Always communicate through authorized channels of Aashi Broking Private Limited.
- 2) For telephonic orders, ensure clear and unambiguous instructions.
- 3) For in-person branch visits, provide written instructions for record and confirmation.
- 4) Be aware of margin requirements and risks associated with cash market and derivatives (F&O) positions.
- 5) In case of margin shortfalls or delayed payments, positions may be squared off by the risk management team without prior notice, as per exchange regulations.
- 6) It is the client’s responsibility to maintain adequate margins at all times.
- 5) In case of margin shortfalls or delayed payments, positions may be squared off by the risk management team without prior notice, as per exchange regulations.
- 4) Be aware of margin requirements and risks associated with cash market and derivatives (F&O) positions.
- 3) For in-person branch visits, provide written instructions for record and confirmation.
- 2) For telephonic orders, ensure clear and unambiguous instructions.
6. Contract Notes and Statements
- 1) Ensure that you receive a digitally signed contract note for every executed trade from Aashi Broking Private Limited, detailing trade number, time, price, brokerage, and your unique client ID.
- 2) Verify all details in the contract note immediately upon receipt.
- 3) Regularly check your registered email ID (as mentioned in your KYC form) for trade confirmations, margin statements, and account updates.
- 4) Request periodic statements of account and reconcile the same with your internal records.
- 3) Regularly check your registered email ID (as mentioned in your KYC form) for trade confirmations, margin statements, and account updates.
- 2) Verify all details in the contract note immediately upon receipt.
7. Settlement and Payments
- 1) Ensure timely payment of margins and mark-to-market obligations as prescribed.
- 2) Make all payments only through authorized banking channels in favor of “Aashi Broking Private Limited.”
- 3) Deliver securities sold or make payment for securities purchased before the respective pay-in day to avoid penalties or delays.
- 4) Ensure receipt of payment or securities within one working day of payout as per exchange settlement timelines.
- 3) Deliver securities sold or make payment for securities purchased before the respective pay-in day to avoid penalties or delays.
- 2) Make all payments only through authorized banking channels in favor of “Aashi Broking Private Limited.”
8. Confidentiality
You agree to maintain strict confidentiality of all information, data, and services shared or made available by Aashi Broking Private Limited.
No proprietary or confidential information shall be disclosed to any third party without prior written consent from the company.
9. Dispute Resolution
In case of any dispute, claim, or difference related to deposits, margins, or transactions with Aashi Broking Private Limited, the same shall be subject to arbitration proceedings as per the rules, byelaws, and regulations of NSE/BSE or their clearing corporations.
The decision of the arbitration tribunal shall be final and binding on both parties.