Oswal Shares And Securities
Your Trust, Our Expertise
We dedicated to building long term relationship with clients and helping them to gain from market oppurtunities and build solid financial health.
- Trusted
- Experienced
- Professional
A FEW WORDS
About us
Oswal Shares And Securities Ltd
Oswal Shares And Securities Ltd is dedicated to building long term relationship with clients and helping them to gain from market oppurtunities and build solid financial health. With more than two decades of experience and expertise in managing wealth, we offer valuable advice and guidance to our clients to protect and grow their wealth. We offer comprehensive financial planning, research based investment ideas and execution platform. We are members of NSE and BSE stock exchanges and also a Depositorry Participant with CDSL.
How We Work
Our Services
Unlock financial potential with our comprehensive stock market services, tailored to maximize your investment opportunities and navigate market fluctuations with confidence.
01.
Advice Based Broking Desk
There are only two rules to make money in stock market. Rule no 1. Never lose money. Rule no 2. Never forget rule no 1…
02.
Equity & Debt Markets
Equity is undoubtedly the best option to generate higher returns than any other asset class…
03.
Currency
With the changing dynamics and increasing volatility of exchange rates across the globe…
04.
Mutual Fund
You don’t need to be the expert of equity market to invest like a pro. As they say, do the things you know best, and leave…
05.
PMS
Direct equity investors are often seen disappointed with the performance of their portfolios, as human emotions…
06.
Depository
Offering a wide platform with membership of CDSL, we provide a medium for settlement of dematerialized shares…
07.
Derivatives
We all trade in equity in anticipation of higher returns. But the market movements may lead to a rise as well as fall in the price...
VOLUNTARY FREEZING / BLOCKING
FACILITY OF VOLUNTARY FREEZING/ BLOCKING THE ONLINE ACCESS OF THE TRADING ACCOUNT TO CLIENTS ON ACCOUNT OF SUSPICIOUS ACTIVITIES
(As per requirements of SEBI Circular No. SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 dated January 12, 2024)
· Modes through which a client can request/communicate to the Trading Member:-
If any suspicious activity is observed in the Trading Account, the client may request us to voluntarily freeze/block the online access of the trading account through any of the following communications to us at the e-mail ID [email protected] and/or telephone number +91-9825213932 :-
- Email from registered e-mail ID
- SMS / Call from registered mobile number
· Issuing of acknowledgement to the clients on receipt of message:-
After validating that request, Member will issue the acknowledgement as well as freeze/block the online access of the client’s trading account.
· Time period within which the request shall be processed and the trading account shall be frozen/blocked:-
The timelines for freezing/ blocking of the online access of the clients’ trading account is as under:
Scenario | Timelines for issuing acknowledgement as well as freezing / blocking of the online access of the trading account. |
Request received during the trading hours1 and within 15 minutes before the start of trading. | Within 15 minutes2 |
Request received after the trading hours and 15 minutes before the start of trading. | Before the start of next trading session |
- Trading hours shall be as follows:
Capital Market Segment: 9.15 a.m. to 3.30 p.m., Equity Derivatives Segment: 9.15 a.m. to 3.30 p.m., Currency Derivatives Segment: 09.00
a.m. to 05.00 p.m., Commodity Derivatives Segment: 09.00 a.m. to 11:30 p.m.
- To begin with, the time limit of 15 minutes is being specified for the purpose of issuing acknowledgement as well as freezing/blocking of the online access of the trading account. This time limit shall be contracted after a review in next six months after the date of its applicability to enhance protection of investors from suspicious activities.
· Action to be taken by the Trading Member pursuant to the receipt of request for freezing/blocking of the trading account:-
The Trading Member shall take the following actions on the receipt of request through any modes of communications as provided by the Trading Member for freezing/blocking of the online access of the trading account from the client:
- Validate that the request is received from the client as per prescribed mode of communication and issue the acknowledgement as well as freeze/block the online access of the client’s trading account and simultaneously cancel all the pending orders of the said
- Post freezing/blocking the client’s trading account, send a communication on the registered mobile number and registered e-mail ID of the client, stating that the online access to the trading account has been frozen/blocked and all the pending orders in the client’s trading account, if any, have been cancelled along with the process of re-enablement for getting the online access to the trading account.
- Details of open positions (if any) should also be communicated to the client along with contract expiry information within one hour from the freezing/blocking of the trading This will eliminate the risk of unwanted delivery settlement. This time limit shall be contracted after a review in the next six months after the date of its applicability to enhance protection of investors from suspicious activities.
· Process for re-enabling the client for trading/transfers:-
The Trading Member shall re-enable the online access of trading account after carrying out necessary due diligence including validating the client request and unfreezing / unblocking the online access of the trading account.
· Intimation to be provided by the trading member to the client:-
Post freezing/blocking the client’s trading account, send a communication on the registered mobile number and registered e-mail ID of the client, stating that the online access to the trading account has been frozen/blocked and all the pending orders in the client’s trading account, if any, have been cancelled along with the process of re-enablement for getting the online access to the trading account.
It is also clarified that:
- Freezing/blocking is only for the online access to the client’s trading account, and there shall be no restrictions on the Risk Management activities of the Trading Member.
- The request for freezing/ blocking does not constitute request for marking client Unique Client Code (UCC) as inactive in the Exchange records.
The Company reserves right to amend/modify any of the policies/procedures mentioned above from time to time depending upon regulatory, market, external conditions and our internal risk management framework, and the customers can obtain such change/ modification from the Company’s website.
