Do's and Don’ts

1. Always deal with the intermediaries registered with SEBI./ stock exchanges.
2. Always keep copies of all investment documentation (e.g. application forms, acknowledgement slips, contract notes) and documents you are sending to companies etc.
3. Send important documents by reliable mode / registered post to ensure deliver.
4. Ensure that you receive contract note at the end of the day/ account statements for every transaction.
5. Ensure that you have money before you buy.
6. Always settle the dues through the normal banking channels with the market intermediaries.
7. Ensure that you have are holding securities before you sell.
8. Follow up diligently and promptly e.g. If you do not receive the required documentation within a reasonable time contact the concerned person i.e. the Trading Member, Company etc. immediately. 
9. Give clear and unambiguous instruction to your Trading Member /agent/ depository participant.
10. Mention clearly whether you want to transact in physical mode or demat.
11. Investors should take informed investment decision without being influenced by misleading recommendations given in the public media such as newspapers, electronic media, website etc. verify all the claims made in such advertisements.
12. Before placing an order with the market intermediaries, please check about the credentials of the companies, its management, fundamentals and recent announcements made by them and various other disclosures made under various regulations. The sources of information are the websites of Exchanges and companies, databases of data vendor, business magazines etc. 
13. Adopt trading / investment strategies commensurate with your risk-bearing capacity as all investments carry some risk, the degree of which varies according to the investment strategy adopted. 
14. Carry out due diligence before registering as client with any intermediary. Carefully read and understand the contents stated in the Risk Disclosure Document, which forms part of the investor registration requirement for dealing through brokers. 
15. Be cautious about stocks which show a sudden spurt in price or trading activity, especially low price stocks. 
16. There are no guaranteed returns on investment in the stock market. 
17. Lodge your complaint or Arbitration Application against the Trading Member, at the nearest Regional Arbitration Centre. Please use for the purpose, your address as intimated to your Trading Member by following due process of law. 

1. Don’t deal with unregistered Trading Members/ sub-brokers, intermediaries.
2. Don't execute any documents with any intermediary without fully understanding its terms and conditions.
3. Don’t file your grievance/s and / or arbitration application against trading member, in the Regional Arbitration Centre having no jurisdiction. Please use for the purpose, your address as intimated to your Trading Member by following due process of law.

1. Don’t forgo taking due documents of transactions, in good faith even from people whom you know.
2. Don’t fall prey to promise of unrealistic high returns.
3. Don’t get misled by companies showing approval / registrations from Government agencies as the approvals could be for certain other purposes and not for the securities you are buying.
4. Don’t transact based on rumours generally called ‘tips’.
5. Don't leave the custody of your Demat Transaction slip book in the hands of any intermediary.
6. Don’t forget to take note of risks note of risks involved in the investment.
7. Don’t get misled by guarantees of repayment of your investments through post-dated cheques.
8. Don’t hesitate to approach concerned persons and then the appropriate Authorities.
9. Don’t get swayed by promises of high returns.
10. Don't get carried away with advertisements about the financial performance of companies in print and electronic media. 
11. Don't blindly follow media reports on corporate developments, as some of these could be misleading. 
12. Don't blindly imitate investment decisions of others who may have profited from their investment decisions. 

• Calling the Company representative to the Exchange to interact with Investor’s / Members to resolve the complaints.
• Calling major Registrar & Transfer agent to the Exchange to interact and resolve the grievances of the Investor’s and Members of the Exchange.
• Pursuing Mumbai based companies to depute their representative to the Exchange to take the pending list of complaints & resolve the same immediately.

Grievance: In certain cases the investors complain with regard to delay in receipt of shares /debentures certificates allotted to them.

Delay in Transfer of Securities: It is the primary right of the shareholder /debenture holder to be able to sell the shares / debentures in the market, and the transferee should get the certificates transferred in his name as soon as possible.

Grievance: In certain cases there has been an inordinate delay in transfer of shares / debentures lodged for transfer and registration. Thus, the transferee may in the intervening period lose certain benefits due to him (i.e. bonus, rights, dividends etc.).

Rights and Remedies:

Delay in Payment of Interest on Debentures: Investors who would like to have fixed return by way of interest, normally invest in debentures on the assumption that the debentures are secured and risk free investments. Investors are advised to verify whether the company is healthy or sick and check the credit rating of the company before making such investments.

Grievance: There have been instances where investors have complained of non-receipt or delay in the receipt of debentures certificates or interest thereon, non-appointment of Debenture Trustee or non-creation of the stipulated security.

Non–Payment of Dividends: Dividends are declared by the company with the approval of the shareholders in its general meeting. Accordingly, a resolution declaring dividend payable by the company is passed. This becomes a debt due by the company to the shareholders.

Grievance: In certain cases the shareholders complain on non-receipt of the dividend declared by the company.

Insider Trading 

• Stock Exchange:  The investor can bring to the notice of the stock Exchange where the Securities of companies are listed.
• Complaints with Consumer’s Disputes Redressal Forums.
• Suits in the Court of Law.

Investor’s grievances against Trading Member

1. To guarantee settlement of bonafide transactions of Trading Members of the Exchange inter se which form part of the Stock Exchange settlement system, 

1. To inculcate confidence in the minds of secondary market participants generally and global Investors’, particularly to attract larger number of domestic and international players in the capital market.
2. To protect the interest of Investors’ and to promote the development of and regulation of the secondary market.

• BSE Institute Ltd. (Formerly known as BSE Training Institute) which organises Training programs periodically on various subjects like comprehensive programs on Capital Markets, Fundamental Analysis, Technical Analysis, Derivatives, Index Futures and Options, Debt Market, etc. Further, for the Derivatives market BSE also conducts the compulsory BSE’s Certification on Derivatives Exchange (BCDE) certification for Trading Members and their dealers to impart basic minimum knowledge of the derivatives markets. 

• BSE's official Website: www.bseindia.com which is the focal point for information dissemination and updates Investors with the latest information on Stock Markets on a daily basis through real time updation of statistical data on Market activity, corporate information and results. Educative articles on various products and processes are also available on the site.
• Publications: BSE regularly comes out with publications for Investor education on various products and processes like Quick Reference Guide for Investors.
• Arbitration Schedule : The schedule of Arbitration hearing to be held is displayed on www.bseindia.com
• Trade Confirmation system: The Investors can now cross verify their trades done on BSE through www.beindia.com if they have a Contract Note with the concerned trade.
• Trade Alerts through SMSs/Emails: In order to safeguard investor interest, BSE sends trade alerts to investors on their mobiles and emails updated by brokers on BSE’s database.

Addresses of BSE Investor service Centers at Cochin & Rajkot are as follows :