Regulatory & Compliance

SEBI & Exchange Registrations

• NSE — Cash Market: SEBI Registration No. INB231103833
• NSE — F&O Segment: SEBI Registration No. INF231103833
• NSE — Currency Derivatives: SEBI Registration No. INE231103833
• BSE — Cash Market: SEBI Registration No. INB011103839
• BSE — F&O Segment: SEBI Registration No. INF011103839
• MCX (Commodities): SEBI Registration No. INZ000002135
• NCDEX (Agri Commodities): SEBI Registration No. INZ000002135
• SEBI Research Analyst: INH200009624
• CDSL Depository Participant: IN-DP-165-2015
• AMFI-Registered Mutual Fund Distributor: ARN 29483
• PFRDA — NPS Point of Presence: Registered NPS POP for National Pension System distribution

Investor Charter

As a SEBI-regulated stockbroker, Shriram Financial Services is committed to the following rights and obligations under the SEBI Investor Charter:

• You have the right to receive a copy of the KYC form and agreement documents at the time of account opening.
• You have the right to receive contract notes within 24 hours of trade execution.
• You have the right to receive clear and accurate information about products, charges, and risks before investing.
• You have the right to receive your funds and securities in a timely manner as per SEBI-prescribed settlement timelines.
• You have the right to lodge a grievance and receive a resolution within 30 days.
• You have the right to access SEBI SCORES for escalation of unresolved grievances.

Risk Disclosures

• Investments in securities markets are subject to market risks. Read all related documents carefully before investing.
• Past performance of research recommendations does not guarantee future results. Equity and F&O markets involve risk of loss of capital.
• Derivatives (Futures and Options) are leveraged instruments. They can result in losses exceeding your initial investment. Only invest what you can afford to lose in derivatives.
• Mutual Fund investments are subject to market risks. Please read the Scheme Information Document (SID) and Key Information Memorandum (KIM) carefully before investing.
• Registration granted by SEBI and AMFI certification does not guarantee performance of the intermediary or provide any assurance of returns to investors.
• Brokerage will not exceed the SEBI-prescribed limit of 2.5% of the contract value.

Investor Grievance Redressal

• Grievance Officer: Compliance Officer, Shriram Financial Services
• Address: Shriram House, No. 4, Burkit Road, T. Nagar, Chennai – 600 017
• Email: compliance@shriramfinancialservices.com
• Phone: 1800 103 1212 (Toll-Free, Mon–Sat 9 AM – 6 PM)
• SEBI SCORES: Unresolved grievances can be escalated to SEBI at scores.sebi.gov.in
• ODR Platform: Online dispute resolution available at smartodr.in as per SEBI mandate

Policies & Disclosures

• Annual Report and Audited Financial Statements — available at registered office
• Privacy Policy — available at shriramfinancialservices.com/privacy
• Terms of Use — available at shriramfinancialservices.com/terms
• Anti-Money Laundering (AML) Policy — available on request at compliance@shriramfinancialservices.com
• Client Margin Reporting — disclosed as per SEBI Circular SEBI/HO/MRD2/DCAP/CIR/P/2021/702

Compliance Certificate

This website and its contents comply with all SEBI regulations governing stockbroker websites including SEBI Circular SEBI/HO/MIRSD/DOS2/P/CIR/2021/577 on technology and cybersecurity requirements. Our compliance team conducts quarterly reviews of all regulatory obligations.