Advisory for Investors

Important advisories issued by the exchanges, depositories and SEBI in the interest of investors. Please read them carefully.

Advisory for investors

• Beware of fixed/guaranteed/regular returns/capital protection schemes. Brokers or their authorised persons or any of their associates are not authorised to offer fixed/guaranteed/regular returns/capital protection on your investment, or to enter into any loan agreement with you to pay interest on the funds offered by you. In case of default of a member, claims for funds or securities given to the broker under any arrangement/agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Do not keep funds idle with the stock broker. Your stock broker has to return the credit balance lying with them within three working days in case you have not done any transaction within the last 30 calendar days. In case of default of a member, claims for funds and securities without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.
• Check the frequency of accounts settlement opted for. If you have opted for a running account, please ensure that the broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30-day settlement).
• Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/collateral must remain in the account of the client and can be pledged to the broker only by way of a “margin pledge” created in the depository system. Clients are not permitted to place any securities with the broker, an associate of the broker or an authorised person of the broker for any reason. The broker can take securities belonging to clients only for settlement of securities sold by the client.
• Always keep your contact details updated. Email and mobile number are mandatory and you must provide them to your broker for updation in Exchange records. Immediately take up the matter with the stock broker/Exchange if you are not receiving messages from the Exchange/Depositories regularly.
• Don’t ignore emails/SMSs from the Exchange for trades done by you. Verify them with the contract notes/statement of accounts received from your broker and report any discrepancy to your broker in writing immediately; if the stock broker does not respond, take it up with the Exchange/Depositories forthwith.
• Check messages sent by the Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare them with the weekly statement of account sent by the broker and immediately raise a concern with the exchange if you notice a discrepancy.
• Please do not transfer funds, for the purposes of trading, to anyone, including an authorised person or an associate of the broker, other than a SEBI-registered stock broker.

Attention Investors

Stock brokers can accept securities as margins from clients only by way of pledge in the depository system w.e.f. September 01, 2020. Update your email ID and mobile number with your stock broker / depository participant and receive OTP directly from the depository on your email ID and/or mobile number to create a pledge. Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month.

Prevent unauthorised transactions in your account

Update your mobile numbers / email IDs with your stock broker. Receive information of your transactions directly from the Exchange on your mobile / email at the end of the day. Issued in the interest of investors.

Prevent unauthorised transactions in your demat account

Update your mobile number with your Depository Participant. Receive alerts on your registered mobile for all debit and other important transactions in your demat account directly from NSDL on the same day. Issued in the interest of investors.

KYC is one time exercise

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. Do not share your account details, credentials or any personal details with anyone.

No need to issue cheques for IPO

No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor’s account.

No stock tips

As a policy we do not give stock tips or recommendations and have not authorised anyone to give these on our behalf. If anyone claiming to be from DP TradeKING offers such services, report it to helpdesk@dptradeking.com. Brokerage will not exceed the SEBI-prescribed limit.

About DP TradeKING

We believe India’s financial future is brighter than ever, and the stock market offers immense opportunities to build wealth. DP TradeKING combines technology, reliability and simplicity: a fast, secure, feature-rich platform with powerful tools and real-time insights, so new and experienced traders can trade smarter and invest confidently. Our mission is to make investing accessible, transparent and rewarding for everyone.

Contact & compliance

For queries, feedback or clarifications email helpdesk@dptradeking.com. For grievances about services rendered by DP TradeKING Private Limited (NSE, BSE & Depository Participant) write to grievance@dptradeking.com. Compliance Officer: Dr. Bhavik Patel, +91 99091 47774, compliance@dptradeking.com. Please read the Risk Disclosure Document prescribed by SEBI, our Terms of Use and Privacy Policy.

ROAR and DP TradeKING

ROAR is a brand/product owned by DP TradeKING Private Limited. All ROAR clients are registered under DP TradeKING Private Limited; please refer to the company as DP TradeKING Private Limited when communicating with regulatory authorities. DP TradeKING does not engage in proprietary trading on its own account.

Complaints on SEBI SCORES / SMART ODR

Register on the SCORES portal — mandatory details: name, PAN, address, mobile number and email ID — for effective communication and speedy redressal of grievances. You can also use the SMART ODR portal or download the SEBI SCORES app (Android and iOS) to log a complaint.

Mutual funds

Mutual fund investments are subject to market risks; read all scheme-related documents carefully before investing. DP TradeKING Private Limited is a distributor of mutual funds under ARN 109938 and is only an order-collection platform that places client orders on BSE StarMF for execution; it is not liable for non-execution or incorrect execution of orders due to link/system failures or delays in the banking system or payment aggregators. Mutual funds are not exchange-traded products, and related disputes do not have access to the exchange investor-redressal forum or arbitration mechanism.

Beware of unsolicited tips

Be cautious of unsolicited emails and SMS advising you to buy, sell or hold securities; trade only on the basis of informed decisions after appropriate analysis, not rumours or tips. Share knowledge or evidence of systemic wrongdoing, potential fraud or unethical behaviour through the anonymous portal on the BSE and NSE websites. Read the NSE and BSE advisory guidelines for investors (circular dated 27 August 2021) on safeguarding client assets.

Support communications

All communications with clients via chat, phone or email are for support purposes only. Commitments or statements made by an agent (human or virtual) are not binding on the company.

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 ₹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.

SEBI presents Samajh Se Investing Simple

• Understand Before You Invest
• Choose Regulated Investment Products
• Start Early, Stay Invested
• Beware of Investment Frauds

Complaints on SEBI SCORES

Filing complaints on SCORES is easy and quick — register on the SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID. Benefits: effective communication and speedy redressal of grievances. You may also use the SMART ODR portal. See Grievance Redressal for our escalation matrix.

More information

Read the Investor Charter, our Risk Disclosure and the client registration documents in regional languages on the NSE and BSE websites.