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Investors Guide

Investors Guide

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Published by karunasavi

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Published by: karunasavi on Nov 30, 2009
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09/01/2010

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DOs & DON’Ts for Investors
 
 
Please click here for Direct Links: 
SEBI: 
NSE: 
 
NSDL: 
Or you may scroll down to check the details of DOs and DON’Ts for Investors for different regulatory bodies.
 
Securities and Exchange Board of India
A.
 
SSUE OF 
ECURITIES 
 
DOs
Read the Prospectus/ Abridged Prospectus and carefully note:
Risk factors pertaining to the issue.
Outstanding litigations and defaults, if any.
Financials of the issuers
Object of Issue.
Company history
Background of promoters
Instructions before making applications
In case of any doubt/problem, contact the compliance officer named in the offerdocument.
In case you do not receive physical certificates/credit to demat account orapplication money refund, lodge a complaint with compliance officer of IssuerCompany and post issue lead manager as stated in the offer document.DON’Ts
Do not fall prey to market rumours.
Do not go by any implicit/explicit promise made by the issuer or any one else.
Do not invest based on bull-run of the market index/scrips of other companies insame industry/issuer company.
Do not bank upon the price of the shares of the issuer company to go up in theshort run.
B.
 
NVESTING 
ERIVATIVES 
 
DOs
Go through all rules, regulations, bye-laws and disclosures made by theexchanges.
Trade only through - Trading Member (TM) registered with SEBI or authorisedperson of TM registered with the exchange.
While dealing with an authorised person, ensure that the contract note has beenissued by the TM of the authorized person only.
While dealing with an authorized person, pay the brokerage/payments/marginsetc. to the TM only.
Ensure that for every executed trade you receive duly signed contract note fromyour TM highlighting the details of the trade along with your unique client-id.

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