Ensure that potential clients are properly introduced to the company.
Clearly and accurately disclose all product offerings of the company.
Conduct business ethically and in full compliance with regulations set by SEBI, Exchanges, Depositories and other relevant bodies.
Inform clients about the inherent risks associated with the services they are availing.
Verify the identity and creditworthiness of clients. Cooperate with company staff in performing in-person verification of the clients if needed.
All client information shall be kept confidential and disclosed only as legally required or with client permission.
Use the company name only for permitted activities.
Do not introduce or open accounts that appear suspicious.
Do not provide investment advice or manage client portfolios. Referrals should only refer, not advise.
Avoid making false promises or assuring guaranteed returns.
Ensure no trade inducements are offered to the referred clients.