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Do's And Dont's

For Investors From SEBI

You Do

1. Transact only through Stock Exchanges.
2. Deal only through SEBI registered intermediaries.
3. Complete all the required formalities of opening an account properly (Client registration, Client agreement forms etc.).
4. Ask for and sign "Know Your Client Agreement".
5. Read and properly understand the risks associated with investing in securities / derivatives before undertaking transactions.
6. Assess the risk - return profile of the investment as well as the liquidity and safety aspects before making your investment decision.
7. Ask all relevant questions and clear your doubts with your broker before transacting.
8. Invest based on sound reasoning after taking into account all publicly available information and on fundamentals.
9. Give clear and unambiguous instructions to your broker / sub-broker / depository participant.
10. Be vigilant in your transactions.
11. Insist on a contract note for your transaction.
12. Verify all details in contract note, immediately on receipt.
13. Crosscheck details of your trade with details as available on the exchange website.
14. Scrutinize minutely both the transaction and the holding statements that you receive from your Depository participant.
15. Keep copies of all your investment documentation.
16. Handle Delivery Instruction Slips (DIS) Book issued by DP's carefully.
17. Insist that the DIS numbers are pre-printed and your account number (client id) be pre stamped.
18. In case you are not transacting frequently make use of the freezing facilities provided for your demat account.
19. Pay the margins required to be paid in the time prescribed.
20. Deliver the shares in case of sale or pay the money in case of purchase within the time prescribed.
21. Participate and vote in general meetings either personally or through proxy.
22. Be aware of your rights and responsibilities.
23. In case of complaints approach the right authorities for redressal in a timely manner.
24. In case physical deliveries are received, check them as per the Good / Bad delivery guidelines issued by SEBI.
25. Transfer of ownership of physical shares should be executed by a valid, duly completed and stamped transfer deed.
26. Educate other investors (Friends, Family etc.) about these Dos & Don'ts.
27. Always check MCX, ICEX, NSE, BSE and SEBI portals to know latest updates, circulars and etc.,

You Don't

1. Given the benefits of trading on stock exchange it is advisable to avoid off-market transactions.
2. Don't deal with unregistered intermediaries.
3. Don't fall prey to promises of unrealistic returns.
4. Don't invest on the basis of hearsay and rumors; verify before investment.
5. Don't forget to take note of risks involved in the investment.
6. Don't be misled by rumors circulating in the market.
7. 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.
8. Don't follow the herd or play on momentum - it could turn against you.
9. Don't be misled by so called hot tips.
10. Don't try to time the market.
11. Don't hesitate to approach the proper authorities for redressal of your doubts / grievances.
12. Don't leave signed blank Delivery Instruction Slips of your demat account lying around carelessly or with anyone.
13. 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.
14. Do not follow investment advice from news channel experts - do your own research.
15. Do not invest under peer pressure.

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