Investor Awareness

Investor Awareness

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1 Internal control Policy and Procedures
2 RISK MANAGEMENT SYSTEM (RMS) & Surveillance Policy
3 (RRCSB) CLIENT & ERROR CODE MODIFICATION POLICY (reviewed on 01-04-2024)
4 (RRCSB) PMLA Policy (reviewed on 14-09-2024)
5 Set of Document
6 Policy For Out Sourcing Of Activities
7 Conflict of Interest
8 KRA Policy & Procedures
9 Policy on Signature on Contract note
10 Policy_ben_owner
11 Risk disclosures
12 Corporate Social Responsibility (CSR) Policy
13 CSR_POLICY_2023-24

Cyber Security

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1 Baselining Procedure_V0.1_R R Chokhani Stock Brokers Pvt Ltd
2 Cyber Security Cyber Resilience Framework
3 IT Access Control Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
4 IT Asset Management Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
5 IT Computer Malware_V0.1_R R Chokhani Stock Brokers Pvt Ltd
6 IT Incident Management Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
7 IT Vendor Selection Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
8 Logging and Monitoring Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
9 Password Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd
10 Physical Security Policy_V0.1_R R Chokhani Stock Brokers Pvt Ltd

Investor Charter for Stock Brokers

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1 Investor Charter

Data for every Month ending

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1 January - 2026
2 December - 2025
3 November - 2025
4 October - 2025
5 September - 2025
6 August - 2025
7 July - 2025
8 June - 2025
9 May - 2025
10 April - 2025
11 March - 2025
12 February - 2025
13 January - 2025
14 December - 2024
15 November - 2024
16 October - 2024
17 September - 2024
18 August - 2024
19 July - 2024
20 June - 2024
21 May - 2024
22 April - 2024
23 March - 2024
24 February - 2024
25 January - 2024
26 December - 2023
27 November - 2023
28 October - 2023
29 September - 2023
30 August - 2023
31 July - 2023
32 June - 2023
33 May - 2023
34 April - 2023
35 March - 2023
36 February - 2023
37 January - 2023
38 December 2022
39 November - 2022
40 October - 2022
41 September-2022
42 August-2022
43 July-2022
44 June-2022
45 May-2022
46 April-2022
47 March-2022
48 February-2022
49 January-2022
50 December-2021

Trend of monthly disposal of complaints

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1 Trend_of_monthly_disposal_complaints ( Oct 25 to Dec 25 )
2 Trend_of_monthly_disposal_complaints ( July 25 to Sept 25 )
3 Trend_of_monthly_disposal_complaints ( April 25 to June 25 )
4 Trend_of_monthly_disposal_complaints ( Jan 25 to Mar 25 )
5 Trend_of_monthly_disposal_complaints(Oct 24 to Dec 24)
6 Trend_of_monthly_disposal_complaints(July 24 to Sept 24)
7 Trend_of_monthly_disposal_complaints(Apr 24 to June 24)
8 Trend_of_monthly_disposal_complaints(Jan24 to Mar 24)
9 Trend_of_monthly_disposal_complaints(Oct 23 to Dec 23)
10 Trend_of_monthly_disposal_complaints(July 23 to Sep 23)
11 Trend_of_monthly_disposal_complaints(Apr 23 to Jun 23)
12 Trend of monthly disposal of complaints( Jan 23 to Mar 23)
13 Trend of monthly disposal of complaints( July22 to Sep22)
14 Trend of monthly disposal of complaints( Jan22 to Mar22)
15 Trend of monthly disposal of complaints(Apr22 to June22)
16 Trend of monthly disposal of complaints(Oct22 to Dec22)

Enhanced Supervision

(RRCSB) Bank Account details
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1 Client Bank Account Details

Registration Document in vernacular language

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1 Annexure 4 - Rights & Obligations Gujarati Hindi Marathi
2 Annexure 5 - RDD Gujarati Hindi Marathi
3 Annexure 6 - Do's & Don'ts Gujarati Hindi Marathi

Dissemination of Information Regarding National Financial Literacy Quiz (NFLQ) 2025 by Trading Member

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1 Dissemination of Information Regarding National Financial Literacy Quiz (NFLQ) 2025 by Trading Member Download