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Risk Disclosure On Derivatives

1) 9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses.

2) On an average, loss makers registered net trading loss close to ₹ 50,000.

3) Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.

4) Those making net trading profits, incurred between 15% to 50% of such profits as transaction cost.

Investor Awareness regarding the revised guidelines on margin collection

NSE :-

 

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

BSE :-

 

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 notice no. 20200731-7 dated July 31, 2020 and 20200831-45 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

MCX:-

 

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 01, 2020.
  2. Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
  3. Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month.

Issued in the interest of Investors

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.

 

TREATMENT OF INACTIVE ACCOUNTS

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In case the Trading and/ or demat account of the client is not operated by the client for a continuous period of 365 days the same will be considered to be ‘Inactive Account’. Such Inactive account will be blocked for further transactions by the client. The client will have to submit following documents/ confirmation, for re-activation of such blocked account:

1.       Call the Customer Care centre identifying himself (through validation questions) and requesting for activation of account for placing orders / transacting in the account;

OR

2.       By placing request for re-activation of account through the Internet Trading portal.

During the blocked period if there is any debit/ dues to 5paisa Capital Limited in client’s account, 5paisa Capital Limited shall have the authority to liquidate the client’s position to the required extent during the block period. During the block period if any corporate actions or pay-outs are due for return to the client, the same will be affected/ returned by 5paisa Capital Limited to the client’s account.

 

SEBI Circulars

  1. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023
  2. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/135 dated August 04, 2023
  3. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145 dated July 31, 2023 (Updated as on August 4, 2023)
  4. SEBI/HO/OIAE/OIAE_IAD-3/P/CIR/2023/191 dated December 20, 2023
  5. SEBI/HO/OIAE/OIAE_IAD-3/P/CIR/2023/195 dated July 31, 2023 (Updated as on August 04, 2023) (Updated as on December 20, 2023)

 

Advisory

  1. Kindly note that as per NSE circulars nos: NSE/INVG/36333 dated November 17, 2018, NSE/INVG/37765 dated May 15.2018 and BSE circular nos: 20171117-18 dated November 17, 2018, 20180515-39 dated May 15.2018, trading in securities in which unsolicited messages are being circulated is restricted. The list of such stocks are available on the website of NSE & BSE. Investors are advised not to blindly follow the unfounded rumours, Tips given in social networks, SMS, WhatsApp, Blogs etc. and invest only after conducting appropriate analysis of respective companies.