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Compliance

Regulatory Compliance

Shree Tisai Securities' complete regulatory framework, exchange memberships, and investor protection compliance disclosures.

Last updated: January 2024
SEBI Compliant · INZ000215732

LEGAL DOCUMENTS

SEBI Registered Broker

Shree Tisai is a SEBI registered stock broker complying with all applicable laws and regulations.

Investor Protection

We maintain highest standards of investor protection and regulatory compliance at all times.

Regular Audits

Our compliance framework is subject to regular internal and external audits as per SEBI requirements.

NEED HELP?

Have questions about our legal policies or compliance?

stcpl@shreetisai.com0251-2312830
Regulatory Compliance

Regulatory Compliance

Last updated: January 2024
SEBI Compliant
  • Shree Tisai maintains comprehensive policies and procedures in compliance with SEBI regulations.
  • All policies are reviewed and updated periodically to reflect regulatory changes.
  • Copies of all compliance documents are available for download in the Document Library section.
  • Shree Tisai is committed to providing fair and transparent services to all investors.
  • Investors have the right to receive timely and accurate information about their investments.
  • All grievances are addressed within stipulated timelines as per SEBI guidelines.
DOCUMENT LIBRARY

Compliance Documents

Download regulatory policies, disclosures, compliance manuals and investor resources.

Conflict of Interest Policy

Internal Control Policy

Other Policies

PMLA Policy

Policy for Limit Setting

Risk Management Policy

Shree Tisai Account Opening Form (KYC)

Guidance Note

Policies and Procedures

Rights and Obligations

Rights Disclosure Document

Inactive Client Policy

Most Important Terms and Conditions (MITC)

Online Client Code Modification

Policy for Conflict of Interest

Policy for Inactive Clients

Policy for NISM VII Series Certification

Pre-funded Instruments Policy

Prevention of Circulation of Unauthorized Information by Staff

Surveillance Policy 2022

Treatment of Inactive Clients

Voluntary Freezing / Blocking of Online Trading Account Policy

SEBI Registered Stock Broker, NSE & BSE Member and CDSL & NSDL Depository Participant. Trusted by investors since 2009.

SEBI: INZ000215732

NSE: (Member Code: 14131)

BSE: (Clg.No.: 6164)

CDSL DP: IN-DP-435-2019

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Compliance

Contact

Investments in securities markets are subject to market risks. Read all related documents carefully before investing. Registration granted by SEBI, membership of NSE/BSE or Depository Participant status with CDSL/NSDL does not guarantee performance or returns. Investors are requested to transact only through official Shree Tisai Securities channels.

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 and BSE vide notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020.
5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

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