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S.NoDateDepartmentSubjectDownload Ref. No.Exchange
1 04-08-2023SEBICorrigendum cum Amendment to Circular dated July 31, 2023 on Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/135SEBI
2 31-07-2023SEBI Online Resolution of Disputes in the Indian Securities MarketSEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131SEBI
3 23-06-2023Inspection & ComplianceReporting of Bank Account & Demat AccountNSE/INSP/57266NSE
4 23-06-2023SEBITrading supported by Blocked Amount in Secondary MarketSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/99SEBI
5 23-06-2023ComplianceMapping of Unique Client Code (UCC) with demat account of the clients20230623-58BSE
6 21-06-2023SEBITrading Preferences by ClientsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/95SEBI
7 19-06-2023Settlement/RMSAdditional Exposure Margin on Securities under MWPL20230619-10BSE
8 14-06-2023Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/57112NSE
9 14-06-2023Inspection & ComplianceRisk disclosure with respect to trading by individual traders in Equity Futures & Options Segment.NSE/INSP/57111NSE
10 12-06-2023NSE Clearing - Capital MarketDiscontinuation of acceptance of securities as collateral through approved custodiansNCL/CMPT/57048NSE
11 08-06-2023SEBIUpstreaming of clients’ funds by Stock Brokers (SBs) / Clearing Members (CMs) to Clearing Corporations (CCs)SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/84SEBI
12 02-06-2023Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/56947NSE
13 31-05-2023Inspection & ComplianceCorrigendum - FAQ for Reporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56900NSE
14 30-05-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level- Reporting20230530-47BSE
15 22-05-2023NSE Clearing - Capital MarketClarification on Collateral reporting against Short Allocation of CollateralsNCL/CMPT/56785NSE
16 22-05-2023Member Service DepartmentOperation of Trading TerminalsNSE/MSD/56778NSE
17 22-05-2023Inspection & CompliancePenalty Provisions for trading terminals without having valid certificationNSE/INSP/56784NSE
18 19-05-2023Inspection & ComplianceReporting of Bank Guarantees (BGs) created out of clients' fundsNCL/CMPL/56762NSE
19 19-05-2023SEBIRisk disclosure with respect to trading by individual traders in Equity Futures & Options SegmentSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/73SEBI
20 18-05-2023Surveillance & InvestigationModification of Client Codes (All Segments) - Delivery versus Payment (DVP) ReportingNSE/INVG/56755NSE
21 16-05-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat AccountsNSE/ISC/56728NSE
22 05-05-2023Inspection & ComplianceDaily reporting of Short-collection/Non-collection of client marginNCL/CMPL/56624NSE
23 27-04-2023Settlement/RMSSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for Short Allocation20230427-28BSE
24 26-04-2023Inspection & ComplianceGuidelines/clarification on Margin collection & reportingNSE/INSP/56512NSE
25 26-04-2023Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/56507NSE
26 25-04-2023Inspection & ComplianceBank Guarantees (BGs) created out of clients’ fundsNSE/INSP/56489NSE
27 21-04-2023Legal, ISC & ArbitrationGuidelines in pursuance of amendment to SEBI KYC (Know Your client) Registration Agency (KRA) Regulations, 2011NSE/ISC/56457NSE
28 17-04-2023Surveillance & InvestigationModification of Client Codes (All Segments) - UpdateNSE/INVG/56395NSE
29 28-03-2023Legal, ISC & ArbitrationAadhar seeding with PANNSE/ISC/56173NSE
30 28-03-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts - Extension of timelines for existing account holdersNSE/ISC/56153NSE
31 27-03-2023ComplianceSettlement of Running Account of Client’s Funds lying with Trading Member - TM20230327-70BSE
32 24-03-2023Inspection & ComplianceTRAI - Guidelines to curb spam SMSes and misuse of Headers and Content Templates by unauthorized Telemarketers (UTMs)NSE/COMP/56114NSE
33 17-03-2023Inspection & ComplianceRestriction on use of certain words by Trading Members/Authorized Person in their Person NSE/COMP/56041NSE
34 22-02-2023Inspection & ComplianceRestriction on use of certain words by Trading Member/Authorized Person in their nameNSE/COMP/55716NSE
35 20-02-2023Futures & OptionsPenalty for intraday short allocation of collateralsNCL/CMPT/55689NSE
36 15-02-2023SEBIMaintenance of a website by stock brokers and depository participantsSEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30SEBI
37 06-02-2023Post TradeAPI based facility for Collateral and Margin details20230206-53BSE
38 02-02-2023Legal, ISC & ArbitrationNomination for Eligible Trading and Demat Accounts NSE/ISC/55473 NSE
39 02-02-2023Inspection & ComplianceRevised Code of Advertisement for Stock BrokersNSE/COMP/55482NSE
40 01-02-2023SEBIChanges to the Framework to Enable Verification of Upfront Collection of Margins from Clients in Cash and Derivatives SegmentsSEBI/HO/MRD/MRD-PoD-2/P/CIR/2023/016SEBI
41 27-01-2023Membership and ComplianceClarification on Margin collection & reportingMCX/INSP/303/2022MCX
42 27-01-2023Post TradeT+1 Settlement Number and Funds settlement in equity cash segment20230127-9BSE
43 27-01-2023Futures & OptionsPre-Trade risk controls - Limit Price Protection - UpdateNSE/FAOP/55396 NSE
44 27-01-2023NSE Clearing - Capital MarketMaintaining Capital Cushion NCL/CMPT/55394NSE
45 27-01-2023Inspection & ComplianceDisplay of Details of Client Bank Accounts on WebsiteNSE/INSP/55402 NSE
46 27-01-2023Finance & AccountsExcess STT retained NSE/FATAX/55386NSE
47 27-01-2023Inspection & ComplianceEarly Pay-in of fundsNSE/INSP/55401NSE
48 25-01-2023NSE Clearing - Capital MarketShort Allocation of CollateralsNCL/CMPT/55381NSE
49 25-01-2023Surveillance & InvestigationClient due diligenceNSE/INVG/55347NSE
50 25-01-2023Inspection & ComplianceApplication Programming Interface (API) for daily submission of Holding Statement and Bank BalancesNSE/INSP/55380NSE
51 20-01-2023Post TradeSegregation and Monitoring of Collateral at Client Level- Update20230120-19BSE
52 20-01-2023Futures & OptionsGuidelines for Net Settlement of Capital Market Segment and Futures and Options (F&O) Segment upon expiry of stock derivatives NCL/CMPT/55330NSE
53 05-01-2023Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading MemberNSE/INSP/55135NSE
54 05-01-2023Inspection & ComplianceEncouraging more retail investors to participate in voting on motions moved by Listed CompaniesNSE/COMP/55151NSE
55 28-12-2022Inspection & ComplianceApplication Programming Interface (API) for daily submissions of Holding Statement and Bank BalancesNSE/INSP/55039NSE
56 28-12-2022Inspection & ComplianceReporting requirement on Settlement of Running Account of Clients’ Funds lying with Trading Member ™NSE/INSP/55024NSE
57 26-12-2022Inspection & ComplianceMarket Data Broadcasts Advisory and Member GuideNSE/COMP/54765NSE
58 07-12-2022Inspection & ComplianceDisplay of Brokerage, Statutory & Regulatory LeviesNSE/INSP/54746NSE
59 02-12-2022Inspection & ComplianceEmpanelment of Backoffice vendorsNSE/COMP/54706NSE
60 25-11-2022Inspection & ComplianceGuidelines on Compliance OfficersNSE/COMP/54600NSE
61 25-11-2022Inspection & ComplianceExtension of timelines for implementation of SEBI circularsNSE/INSP/54618NSE
62 11-11-2022Inspection & ComplianceHandling of Clients’ Securities by Trading Members(TM) / Clearing Members (CM)NSE/INSP/54390NSE
63 04-11-2022Membership ComplianceGuidelines to determine celebrity status for the purpose of issuing advertisements20221104-34BSE
64 25-10-2022Surveillance & InvestigationCaution towards dealing with Unsolicited Messages/Videos/any other reference NSE/INVG/54196NSE
65 28-09-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level- PenaltyNCL/CMPL/53867NSE
66 23-09-2022Inspection & ComplianceFAQ on Settlement of Running Account of Client’s Funds lying with Trading Member ™NSE/INSP/53820NSE
67 22-09-2022Inspection & ComplianceClarification to the Rule 8(1)(f) and 8(3)(f) of Securities Contracts (Regulation) Rules, 1957NSE/COMP/53802NSE
68 19-09-2022NSE Clearing - Capital MarketValidation of Instructions for Pay-In of Securities from Client demat account to Trading Member (TM) Pool Account against obligations received from the Clearing CorporationsNCL/CMPT/53746NSE
69 07-09-2022Inspection & CompliancePerformance/return claimed by unregulated platforms offering algorithmic strategies for tradingNSE/COMP/53555NSE
70 06-09-2022MCXCCLAlternate Risk Management Framework Applicable in case of Near Zero and Negative PricesMCX/MCXCCL/516/2022MCX
71 02-09-2022Inspection & ComplianceEnforcement actions against the Trading MembersNSE/INSP/53530NSE
72 30-08-2022Legal, ISC & ArbitrationFramework for automated deactivation of trading and demat accounts in cases of inadequate KYCsNSE/ISC/53482NSE
73 22-08-2022NSE Clearing - Capital MarketSEBI circular on Block Mechanism in demat account of clients undertaking sale transactionsNCL/CMPT/53386NSE
74 19-08-2022Post TradeSegregation and Monitoring of Collateral at Client Level - Penalty mechanism for EOD Short Allocation20220819-5BSE
75 12-08-2022Inspection & ComplianceClarification on the Brokerage, Statutory & Regulatory LeviesNSE/INSP/53297NSE
76 08-08-2022Legal, ISC & ArbitrationAdherence to KYC requirementsNSE/ISC/53233NSE
77 01-08-2022Inspection & ComplianceUnique Device Identifier for orders placed through Internet Based Trading (IBT) and Securities trading using Wireless Technology (STWT)NSE/COMP/53164NSE
78 15-07-2022Futures & OptionsReport for EOD short allocation of collateralNCL/CMPT/52987NSE
79 06-07-2022Inspection & CompliancePrecautions for clients dealing in OptionsNSE/INSP/52900NSE
80 04-07-2022Currency DerivativesUCC and PAN verification NSE/CD/52850NSE
81 24-06-2022Legal, ISC & ArbitrationInvestor Grievance Redressal MechanismNSE/ISC/52728NSE
82 23-06-2022Inspection & ComplianceGuidelines/clarifications on Margin collection & reportingNSE/INSP/52711NSE
83 14-06-2022Inspection & ComplianceImplementation of Two Factor AuthenticationNSE/COMP/52623NSE
84 07-06-2022Inspection & Compliance Issuance of Electronic Contract Notes (ECN) through SMS/electronic instant messaging servicesNSE/INSP/52604NSE
85 24-05-2022 Membership and Compliance Clarification on Margin collection & reportingMCX/INSP/303/2022MCX
86 31-03-2022Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/51830NSE
87 25-03-2022Inspection & ComplianceRevision in Contract Note FormatNSE/INSP/51772NSE
88 25-03-2022Inspection & ComplianceUnauthorised Market Practices by Trading MembersNSE/INSP/51770NSE
89 24-02-2022Inspection & ComplianceNomination for Eligible Trading and Demat Accounts - Extension of timelines and relaxations for existing account holdersNSE/INSP/51438NSE
90 24-02-2022Inspection & ComplianceSegregation and Monitoring of Collateral at Client Level - Extension of timelineNSE/INSP/51437NSE
91 08-02-2022Inspection & ComplianceClarification with respect to SEBI Circular No. SEBI/HO/MIRSD/DOP/CIR/P/2020/73 dated April 24, 2020 regarding Clarification on Know Your Client (KYC) Process and Use of Technology for KYCNSE/INSP/51278NSE
92 13-12-2021Inspection & ComplianceApproved user/ PersonsNSE/COMP/50576NSE
93 21-10-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/50030NSE
94 12-10-2021Inspection & ComplianceGuidelines/clarification on Margin collection and reportingNSE/INSP/49929NSE
95 27-09-2021Inspection & ComplianceTreatment of Inactive Trading AccountNSE/INSP/49743NSE
96 03-09-2021Inspection & ComplianceReporting of clients mapped to Authorised Persons (AP)NSE/COMP/49509NSE
97 31-08-2021Inspection & ComplianceFAQ on Settlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/49458NSE
98 17-08-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49323NSE
99 26-07-2021Inspection & ComplianceOnline Closure of Trading AccountsNSE/INSP/49055NSE
100 20-07-2021Inspection & ComplianceSegregation and Monitoring of Collateral at Client LevelNSE/INSP/49008NSE
101 16-06-2021Inspection & ComplianceSettlement of Running Account of Client's Funds lying with Trading Member (TM)NSE/INSP/48624NSE
102 09-06-2021Inspection & ComplianceMarket Access through Authorised PersonsNSE/COMP/48536NSE
103 09-06-2021Inspection & ComplianceFAQs on Margin Trading Facility (MTF)NSE/COMP/48531NSE
"Prabhudas Lilladher Private Limited will be surrendering its OLD Investment Advisors Registration Certificate No. INA000011811 and OLD BASL Membership No. BASL1226. Prabhudas Lilladher Private Limited has acquired NEW registration number from SEBI as Investment Advisor under SEBI (Investment Advisors) Regulations, 2013. The surrender of the aforesaid old registration numbers is a regulatory requirement. ALL OTHER SEBI REGISTRATIONS OF PRABHUDAS LILLADHER PRIVATE LIMITED CONTINUE TO REMAIN VALID AND IN FORCE."

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Prabhudas Lilladher Private Limited. Regd. Office : 3rd Floor, Sadhana House, 570, P. B. Marg, Behind Mahindra Tower, Worli, Mumbai - 400 018, INDIA. Tel. : 022 6632 2222

Investment in securities market are subject to market risks, read all the related documents carefully before investing.

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:

    1.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 REGISTRATION NUMBERS. (BROKING) INZ000196637 [Membership Codes: NSE – 05977; BSE – 564; MCX – 40690] | (DEPOSITORY PARTICIPANT) IN-DP-439-2019 [DP-IDs: CDSL – 12011300; NSDL – IN303868] | (PMS) INP000008279 | (RESEARCH ENTITY) INH00000271 | (INVESTMENT ADVISORY) INA00011811| (AMFI ARN) 3276

    Download Client Registration Documents (Rights & Obligations, Risk Disclosure Document, Do's & Don't's) in Vernacular Language : BSE | NSE | MCX
    For complaints at SEBI : SEBI Score
    Mandatory details for filing complaints on SCORES:
    i. Name,PAN,Address,Mobile Number, Email ID
    Benefits for filing complaints on score
    i. Effective Communication
    ii. Speedy redressal of the grievances
    Online Dispute Resolution Portal (ODR Portal)
    Terms & Conditions
    PRO-TRADING DISCLOSURE
    Voting Links

    1) Attention Investors: Prevent Unauthorised transactions in your account. Update your Mobile Numbers/Email IDs with your Stock Brokers. Receive information of your transactions directly from Exchange on your Mobile/Email at the end of the Day .......... Issued in the interest of Investors. 2)Attention Investors : 1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020. 2. Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. 3. Pay 20% upfront margin of the transaction value to trade in cash market segment. 4. Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard. 5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month. .......... Issued in the interest of Investors 3) Attention Investors: Prevent Unauthorized 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 CDSL/ NSDL on the same day..........issued in the interest of investors. 4) 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. 5) No need to issue cheques by investors while subscribing to IPO. Just write Bank Account Number & 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 . 6) Mandatory details for filing complaints on SCORES: i. Name, PAN, Address, Mobile Number, Email ID