Stock Broker Name	Registration Number	Registered Address	Branch Address (if any)	Contact Number	Email id
Saroj Securities	INZ000224427	309 , KAN CHAMBER ,14/113 CIVIL LINES KANPUR - 208001	No Branch	+91-512-2338433	sarojsecurities@gmail.com

Escalation Matrix –

Registered Office

Saroj Securities Member: The National Stock Exchange of India Ltd.
309 KAN Chamber ,
14/113 Civil Lines ,Kanpur - 208 001
Phone No.	:-	+91-512-2338334 , 2338433
Mobile	:-	+91-9044270270 , 9044088806
Email ID	:-	contact@sarojsecurities.com
Trading Member Code: 13476
Sebi Registration Number-Capital Market- INZ000224427

Investor Grievances escalation matrix

 

Details of	Contact Person	Address	Contact No	Email Id
Customer care	Mayur N Mishra	309 , KAN Chamber ,14/113 Civil Lines Kanpur - 208001	9695603666 Mon – Sat :  9:00AM to 6:00 PM	contact@sarojsecurities.com
Head of Customer care	Ruchi Gupta	309 , KAN Chamber ,14/113 Civil Lines Kanpur - 208001	7704996671 Mon – Sat :  9:00AM to 6:00 PM	Ruchi.gupta777@gmail.com
Compliance Officer	Sanjay Agrawal	309 , KAN Chamber ,14/113 Civil Lines Kanpur - 208001	9839160923 Mon – Sat :  9:00AM to 6:00 PM	Sanjay_ashi@yahoo.co.in
CEO	Rajeev Badlani	309 , KAN Chamber ,14/113 Civil Lines Kanpur - 208001	9839008560 Mon – Sat :  9:00AM to 6:00 PM	Rajeev_badlani@rediffmail.com

 

In absence of a response/complaint not addressed to your satisfaction, you may lodge a complaint with:

• SEBI at https://scores.gov.in/scores/Welcome.html
• Exchange at https://investorhelpline.nseindia.com/NICEPLUS/

Please quote your Service Ticket/Complaint Ref No. while raising your complaint at SEBI SCORES/Exchange portal.

Names and contact details of all Key Managerial Personnel including the Compliance Officer

Sr. No.	Name of the Individual	Designation	Mobile Number	Email Id
1	Sanjay Agrawal	Partner	9839160923	sanjay_ashi@yahoo.co.in
2	Ajay Kumar Badlani	Partner	7704996672	ajaybadlani62@gmail.com
3	Rajeev Badlani	Partner	9839008560	rajeev_badlani@rediffmail.com
4	Sanjay Agrawal	Compliance Officer	9839160923	sanjay_ashi@yahoo.co.in

Detailed write up on the procedure for opening Trading Account  with Saroj Securities . 

You cannot trade in the stock market without  a Demat account. For opening a Trading account with Saroj Securities , you need to have a Demat account with any of the existing Depository Participant

 

Trading account opening with Saroj Securities is not available in online mode and is available only in offline mode .

Documents Required to Open Trading Account

Identity Proof - PAN card is mandatory.

 Address Proof -  Adhaar card, recent Electricity Bill, Passport, Voter’s ID, Driver’s License, Bank Passbook, any other SEBI approved  document

 Income Proof - Latest Salary slip, Income Tax Return, or last 6 months bank statement

Steps to Open Trading Account with Saroj Securities

Step 1: Visit office of Saroj Securities

Step 2: Complete KYC

 - you need to fill the KYC form , affix photo , attach copy of the required proof (self attested ) complete the KYC procedure, you must enter details like your name, address, permanent account number (PAN), Aadhaar card number, and date of birth ,demat account details and bank account details.

Step 3: In-person Verification

After verifying all documents and subject to the same in order ,Employee of the Saroj securities will complete your in person verification –

 Step 4: UCI Registration with KRA and National Stock Exchange

Client details as per KYC are uploaded to KRA and NSE for UCC registration.

Client gets registered with NSE . 

Client status with KRA shows as under process

KRA data is fetched daily for client KYC status .

When the KRA status gets changed to Client Validated , the client registration is complete .

Cleint is informed by Email and message , that the registration is complete and ready for trade. 

1. b) Detailed write up on procedure for filing a complaint on designated email id/ Toll-free number

Any Investor  complaint can be raised by sending an mail to saroj securities . To create a ticket, follow these steps:

1. Send an email to customer care , with your name and UCC ,informing in detail about the nature of your complaint with attachments ,if any at contact@sarojsecurities.com

Wait for one working day for acknowledgement of complaint along with ticket number assigned. 

In case you do not receive any timely/satisfactory response within , you may contact  at the email/Contact numbers as per Investor Grievances escalation matrix at home page .

In absence of a response/complaint not addressed to your satisfaction, you may lodge a complaint with:

• SEBI at https://scores.gov.in/scores/Welcome.html
• Exchange at https://investorhelpline.nseindia.com/NICEPLUS/

Please quote your Service Ticket/Complaint Ref No. while raising your complaint at SEBI SCORES/Exchange portal.

1. c) Detailed write up on procedure for finding out status of the complaint basis Ticket Number etc.

Any Investor can  email /call at the email address / mobile number mentioned in Investor Escalation matrix  with  ticket number for the current status of  complaint .

Attention Investors

In order to make the Investors complaint redress mechanism more effective and efficient, SEBI has provided an online complaint filing facility named SCORES.
For detailed procedure for filing of complaints on SCORES and benefits for the same, an Investor may refer the SCORES website (link: https://scores.gov.in/scores/Welcome.html) and the FAQs available thereon for the same.
Filing of complaints on SCORES – Easy & quick

• Register on SCORES portal
• Mandatory details for filing complaints on SCORES:
  i. Name, PAN, Address, Mobile Number, Email ID
• Benefits:
  i. Effective communication
  ii. Speedy redressal of the grievances .
  
• Investor Grievances escalation matrix
  Contact Us

Precautions for clients dealing in Options

We wish to caution all investors to avoid practices like:
a) Sharing of trading credentials – login id & passwords including OTP’s.
b) Trading in leveraged products like options without proper understanding, which could lead to losses
c) Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks
d) Dealing in unsolicited tips through Whatsapp, Telegram, YouTube, Facebook, SMS, calls, etc.
e) Trading in “Options” based on recommendations from unauthorised / unregistered investment advisors and influencers.

Advisory To Investors

All clients/investors are requested to abstain from dealing in any schemes of unauthorised collective investments/portfolio management, indicative/ guaranteed/fixed returns / payments etc.
It has been brought to the notice of the Exchange that some persons are offering to handle trading account of investor by asking investors to share their user id and password and is guaranteeing returns on investment. NSEIL/SEBI have issued Press release in this regard, for safeguard of Investor Interests .
WE herewith caution the Investors/clients and advise them not to subscribe to any scheme or products/arrangements offered by any entities and person, involving assured/guaranteed returns or unauthorized portfolio management/Collective investment schemes.
Such arrangements /schemes are not permitted under the SEBU/NSE Bye-laws Rules and regulations.

Handling Of Client Securities

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.

"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."

Running Account Authorization

The applicable date of this circular is 01 October 2019 .
With Regard to Running account authorizations given by Investor for securities , following changes will take place as per Sebi circular on handling of client securities by trading and clearing members Dated – 24-06-2019 .
Transfer of Shares purchased by Client shall not be allowed to Trading member Beneficiary Account in any condition after 01.10.2019 .

• Where the client has not paid for the securities purchased in full (unpaid securities) should be transferred to a separate client account titled as “Client Unpaid Securities Account”.
• The securities kept in “Client Unpaid Securities Account” shall either be transferred to client demat account upon fulfilment of clients obligation or it should be disposed off in the market by the member within T+5 days reckoned from the settlement date.
• Client securities should not be kept in “Client Unpaid Securities Account” beyond seven trading days from the date of settlement. In case of non-transfer of securities penalties will be levied by the depositories.
• Client securities received as collateral shall be used only for meeting the respective client’s margin requirement by way of depositing the same with Stock Exchange/Clearing Corporation/ Clearing House.
• Client Securities lying in “Client Collateral Account”, “Client Margin Trading Securities Account”, and “Client Unpaid Securities Account” cannot be pledged to the Banks/ NBFC for raising funds.
• Client Securities already pledged shall either be unpledged and returned to the clients upon fulfilment of pay in obligation by 31.08.2019 or disposed off after giving notice of 5 days to the client.
• Accordingly, the provisions with regard to running account settlement of clients’ funds and securities specified in SEBI Circulars MIRSD/ SE /Cir-19/2009 dated December 03,2009 and SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 dated September 26, 2016 shall stand modified to the extent as stated here in above and the said circulars shall be applicable only as guidelines for running account settlement of clients’ “funds” only.

For detailed understanding you are requested to refer to SEBI Circular No CIR/HO/MIRSD/DOP/CIR/P/2019/75 dated June 20 , 2019

Encouraging more retail investors to participate in voting on motions moved by Listed Companies –

Companies in the normal course of business introduce various resolutions related to the corporate policies, board appointments, corporate actions, etc., that must be approved by shareholders.
Shareholders of the company can vote on these resolutions to either approve or reject them. All shareholders that hold the shares of the companies on the record date are eligible to vote.
In case any investor / shareholders wish to vote , the same can assessed by clicking on below mentioned links of CDSL’s and NSDL’s e-voting system .

https://www.evotingindia.com/

https://nsdl.co.in/value/e-Voting.php