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INVESTING IN IPOs.

Do's & Don'ts

DO's

Read the Prospectus/ Abridged Prospectus and carefully note:

Risk factors pertaining to the issue.

Outstanding litigations and defaults, if any.

Financials of the issuer.

Object of the issue.

Company history.

Background of promoters.

Instructions before making application.

In case of any doubt/problem, contact the compliance officer named in
the offer document.

In case you do not receive physical certificates/credit to demat account
or application refund,lodge a complaint with compliance officer of issuer company and post issue lead manager as stated in the offer document.
 

Don'ts

 Do not fall prey to market rumours.

Do not go by any implicit/explicit promise made by the issuer or any one
else.

Do not invest based on bull run of the market index/scrips of other
companies in same industry/issuer company.

Do not bank upon the price of the shares of the issuer company to go up
in the short run.
 

DEALING WITH BROKERS

Do's

Deal only with SEBI registered intermediaries.

Ensure that the intermediary has a valid registration certificate.

State clearly who will be placing orders on your behalf .

Insist on client registration form to be signed by the intermediary
before commencing operations.

Enter into an agreement with your broker or sub-broker setting out
terms and conditions clearly.

Insist on contract note/ confirmation memo for trades done each day.

Insist on bill for every settlement.

Ensure that broker's name, trade time and number, transaction price
and brokerage are shown distinctly on the contract note.

Insist on periodical statement of accounts.

Issue cheques/drafts in trade name of the intermediary only.

Ensure receipt of payment/ deliveries within 48 hours of payout.

In case of disputes, file written complaint to intermediary/ Stock
Exchange/SEBI within a reasonable time.

In case of sub-broker disputes, inform the main broker about the
dispute within 6 months.

Familiarise yourself with the rules, regulations and circulars issued
by stock exchanges/SEBI before carrying out any transaction.

Don'ts

Do not deal with unregistered intermediaries.

Do not pay more than the approved brokerage to the intermediary.

 Do not undertake deals for others.

Do not neglect to set out in writing, orders for higher value given over
phone.

 Do not sign blank Delivery instruction slip(s) while meeting security
payin obligation.

Don't accept unsigned/duplicate contract note/confirmation memo .

Don't accept contract note/confirmation memo signed by any
unauthorised person.

 Don't delay payment/deliveries of securities to broker/ sub-broker.

Don't get carried away by luring advertisements, if any.

 Don't be led by market rumours or get into shady transactions.
 

INVESTING IN MUTUAL FUNDS

Do's

 Read the offer document carefully before investing.

Note that investments in Mutual Funds may be risky.

Mention your bank account number in the application form.

Invest in a scheme depending upon your investment objective and
risk appetite.

Note that Net Asset Value of a scheme is subject to change
depending upon market conditions.

Insist for a copy of the offer document/key information memorandum
before investing.

Note that past performance of a scheme is not indicative of future
performance.

Past performance of a scheme may or may not be sustained in
future.

Keep track of the Net Asset Value of a scheme, where you have
invested, on a regular basis.

Ensure that you receive an account statement for the money that you
have invested.

Update yourself on the performance of the scheme on a regular
basis.

Don'ts

Do not invest in a scheme just because somebody is offering you a
commission or other incentive, gifts etc.

Do not get carried away by the name of the scheme/Mutual Fund.

Do not fall prey to promises of unrealistic returns.

 Do not forget to take note of risks involved in the investment.

Do not hesitate to approach concerned persons and then the
appropriate authorities for any problem.

Do not deal with any agent/broker dealer who is not registered with
Association of Mutual Funds in India (AMFI).

DEALING IN SECURITIES

Do's

Transact only through Stock Exchanges.

Deal only through SEBI registered intermediaries.

Complete all the required formalities of opening an account properly
(Client registration,Client agreement forms etc).

Ask for and sign "Know Your Client Agreement".

Read and properly understand the risks associated with investing in
securities / derivatives before undertaking transactions.

Assess the risk - return profile of the investment as well as the
liquidity and safety aspects before making your investment decision.

Ask all relevant questions and clear your doubts with your broker
before transacting.

Invest based on sound reasoning after taking into account all publicly
available information and on fundamentals.

Give clear and unambiguous instructions to your broker / sub-broker /
depository participant

Be vigilant in your transactions.

Insist on a contract note for your transaction.

Verify all details in contract note, immediately on receipt.

Crosscheck details of your trade with details as available on the
exchange website.

Scrutinize minutely both the transaction and the holding statements
that you receive from your Depository participant.

Keep copies of all your investment documentation.

Handle Delivery Instruction Slips (DIS) Book issued by DP's carefully.

Insist that the DIS numbers are pre-printed and your account number
(client id) be pre stamped.

Incase you are not transacting frequently make use of the freezing
facilities provided for your demat account.

Pay the margins required to be paid in the time prescribed.

Deliver the shares in case of sale or pay the money in case of
purchase within the time prescribed.

Participate and vote in general meetings either personally or through
proxy.

Be aware of your rights and responsibilities.

Incase of complaints approach the right authorities for redressal in a
timely manner.

Don'ts

Don't undertake off-market transactions in securities.

Don't deal with unregistered intermediaries.

Don't fall prey to promises of unrealistic returns.

Don't invest on the basis of hearsay and rumors; verify before
investment.

Don't forget to take note of risks involved in the investment.

Don't be misled by rumours circulating in the market.

Don't be influenced into buying into fundamentally unsound
companies (penny stocks) based on sudden spurts in trading
volumes or prices or non authentic favorable looking articles /
stories.

Don't follow the herd or play on momentum - it could turn against you.

Don't be misled by so called hot tips.

Don't try to time the market.

Don't hesitate to approach the proper authorities for redressal of your
doubts / grievances.

Don't leave signed blank Delivery Instruction Slips of your demat
account lying around carelessly or with anyone.

Do not sign blank Delivery Instruction Slips(DIS) and keep them with
Depository .

Participant(DP) or broker to save time. Remember your carelessness
can be your peril.DIA .