Compliance

Website Maintenance Circular

Website Maintenance Circular

BSE Circular no. 20230216-4 dated February 16, 2023

Annexure A: Details of Mandatory Display

1. Publishing of Investor Charter as per BSE circular no- 20211206-68 dated December 06, 2021 and 20220603-17 dated June 03, 2022 and display of Investor Grievance Escalation Matrix as per BSE circular no- 20221109-42 dated November 09, 2022.
2. Basic details of the Member such as registration number, registered address of Head office and branches along with Contact Number and Email id.
3. Names, Mobile number, Email id, etc. of all Key Managerial Personnels provided under sec. 2(51) of the Companies Act, 2013-
   • The Chief Executive Officer or the Managing Director or the Manager: NALINKANT DHIRAJLAL DALAL (Whole-Time Director)
   • The Company Secretary: NA
   • The Whole-Time Director: NALINKANT DHIRAJLAL DALAL & NIKHIL PRIYAVADAN SHAH
   • The Chief Financial Officer: NA
   • Such other officer as may be prescribed: NA
   • The Compliance Officer: NIKHIL PRIYAVADAN SHAH — Email NPSHAH_67@YAHOO.COM · Phone 022-40021601
4. Step-by-step procedures for below-

   Not Applicable as We do not have any Retail Client

   • Detailed write up on procedure for opening an account along with Flowchart and video (optional) if any with link.
   • Detailed write up on procedure for filing a complaint on a designated email id & finding out status of the complaint etc. along with Flowchart and video (optional) if any.
5. Details of Authorized Persons-
   • List of Active Authorised persons to be displayed.
   • List of Authorised persons cancelled by the Members on account of Disciplinary grounds.

Annexure B: Formats of Mandatory Display

Basic details of the Stock Broker

Registration number, registered address of Head Office and branches (if any):

Stock Broker

ANSec (Amit Nalin Securities Pvt. Ltd.)

Registration Number

SEBI NO. INZ 000244134 · BSE CLEARING NO 029 · NSE MEMBER ID 09807

Registered Address

142 A Mittal Tower, Nariman Point, Mumbai 400021

Branch Address (if any)

NO Retail Clients · No Branches

Contact Number

Nikhil Priyavadan Shah · 022-40021601

Email id

npshah_67@yahoo.com

Escalation Matrix

Not Applicable as We do not have any Retail Clients.

Management Team

On smaller screens, scroll the table sideways to view all columns.

Working Hours each escalation level: Monday to Friday, 09 am to 05 pm. In absence of response / complaint not addressed to your satisfaction, you may lodge a complaint with SEBI at the SEBI SCORES portal or the Exchange at the NSE investor helpline. Please quote your Service Ticket / Complaint Ref No. while raising your complaint at the SEBI SCORES / Exchange portal.

Annexure C: FAQs

1. What are the various guidelines related to this circular?

SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/30 dated February 15, 2023, on Maintenance of a website by stock brokers and depository participants, and SEBI/HO/MIRSD/DOP/P/CIR/2021/676 dated December 02, 2021, on Publishing Investor Charter and disclosure of Investor Complaints by Stock Brokers on their websites.

2. When will the circular come into effect?

The provisions of this circular shall come into effect from August 16, 2023.

3. What is the last date to comply with the circular and report to the Exchange?

The last date to comply with the circular and report to the Exchange is within a week of this circular coming into effect, i.e., August 24, 2023.

4. Which Members are exceptions to this circular?

This circular is applicable to the Members dealing in clientele business (i.e., clients mapped to them). The same is not applicable to the Members dealing in Proprietary trading or Institutional Business with no client base. We do not have any Retail Client. We deal in Proprietary trading and Institutional Business only.

5. Are there any additional guidelines on the URL to the website?

NA as we do not have any Retail Clients.

6. What is the frequency of the updation of details on the website?

We update the website as per SEBI’s Guideline.