{"id":1579,"date":"2014-12-19T00:00:00","date_gmt":"2014-12-18T18:30:00","guid":{"rendered":""},"modified":"2015-12-30T12:31:10","modified_gmt":"2015-12-30T07:01:10","slug":"investor-s-rights-and-obligations-from-broker","status":"publish","type":"post","link":"https:\/\/taxclick.org\/type\/investment\/investor-s-rights-and-obligations-from-broker\/","title":{"rendered":"Investor&#8217;s Rights and Obligations from broker"},"content":{"rendered":"<p style=\"\" margin-top:0in;margin-right:0in;margin-bottom:.0001pt;margin-left:.25in;text-align:justify;vertical-align:baseline\"\"=\"\"><strong><span style=\"font-size:14.5pt;font-family:'Trebuchet MS', sans-serif\">Investor Rights &#8211; Right To<\/span><\/strong><span style=\"font-size:14.5pt;font-family:'Trebuchet MS', sans-serif\"><\/span><\/p>\n<p margin-bottom:0in;margin-bottom:.0001pt;text-align:justify;vertical-align:baseline\"\"=\"\"><strong><\/strong><\/p>\n<p><\/p>\n<ul>\n<li>Get Unique Client Code<br \/>\n(UCC) allotted<\/li>\n<li>Get a copy of KYC and other<br \/>\ndocuments executed<\/li>\n<li>Get trades executed in only<br \/>\nhis\/her UCC<\/li>\n<li>Place order on meeting the<br \/>\nnorms agreed to with the Member<\/li>\n<li>Get best price<\/li>\n<li>Contract note for trades<br \/>\nexecuted<\/li>\n<li>Details of charges levied<\/li>\n<li>Receive funds and<br \/>\nsecurities on time<\/li>\n<li>Receive statement of<br \/>\naccounts from trading member<\/li>\n<li>Ask for settlement of<br \/>\naccounts<\/li>\n<\/ul>\n<p><\/p>\n<p style=\"\" margin-top:0in;margin-right:0in;margin-bottom:.0001pt;margin-left:.25in;text-align:justify;vertical-align:baseline\"\"=\"\"><strong>Investor Obligations &#8211; Under Obligation To<\/strong><\/p>\n<p><\/p>\n<ul>\n<li>Execute Know Your Client<br \/>\n(KYC) documents and provide supporting documents<\/li>\n<li>Understand the voluntary<br \/>\nconditions being agreed with the member<\/li>\n<li>Understand the rights given<br \/>\nto the Members<\/li>\n<li>Read Risk Disclosure<br \/>\nDocument<\/li>\n<li>Understand the product and<br \/>\noperational framework and deadlines<\/li>\n<li>Pay margins<\/li>\n<li>Pay funds and securities<br \/>\nfor settlement on time<\/li>\n<li>Verify details of trades<\/li>\n<li>Verify bank account and DP<br \/>\naccount for funds and securities movement<\/li>\n<li>Review contract notes and<br \/>\nstatement of account<\/li>\n<\/ul>\n<p><\/p>\n<p style=\"\" margin-top:0in;margin-right:0in;margin-bottom:.0001pt;margin-left:.25in;text-align:justify;vertical-align:baseline\"\"=\"\"><strong>Rights to Remedies<\/strong><\/p>\n<p><\/p>\n<ul>\n<li>Take up a complaint against<br \/>\nmember with the Exchange<\/li>\n<li>Take up a complaint against<br \/>\nlisted company<\/li>\n<li>File arbitration against<br \/>\nmember if there is dispute<\/li>\n<li>Challenge the arbitration<br \/>\naward before court of law<\/li>\n<\/ul>\n<p><\/p>\n<p style=\"\" margin-top:0in;margin-right:0in;margin-bottom:.0001pt;margin-left:.25in;text-align:justify;vertical-align:baseline\"\"=\"\"><strong>Obligation Towards Remedies<\/strong><\/p>\n<p><\/p>\n<ul>\n<li>Take up complaint within<br \/>\nreasonable time<\/li>\n<li>Complaint to be supported<br \/>\nby appropriate documents<\/li>\n<li>When additional information<br \/>\nis called for provide the same<\/li>\n<li>To participate in<br \/>\nresolution meetings<\/li>\n<\/ul>\n<div>Source: <a href=\"http:\/\/www.nseindia.com\/\" target=\"_blank\">NSEINDIA<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Investor Rights &#8211; Right To Get Unique Client Code (UCC) allotted Get a copy of KYC and other documents executed Get trades executed in only his\/her UCC Place order on meeting the norms agreed to with the Member Get best price Contract note for trades executed Details of charges levied Receive funds and securities on &#8230; <a title=\"Investor&#8217;s Rights and Obligations from broker\" class=\"read-more\" href=\"https:\/\/taxclick.org\/type\/investment\/investor-s-rights-and-obligations-from-broker\/\" aria-label=\"More on Investor&#8217;s Rights and Obligations from broker\">Read more<\/a><\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_uag_custom_page_level_css":"","_mi_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"footnotes":""},"categories":[14],"tags":[215,213],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Investor&#039;s Rights and Obligations from broker - All About Finance<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/taxclick.org\/type\/investment\/investor-s-rights-and-obligations-from-broker\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Investor&#039;s Rights and Obligations from broker - All About Finance\" \/>\n<meta property=\"og:description\" content=\"Investor Rights &#8211; 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