Risk Management Policy

RISK MANAGEMENT POLICY

ADOPTED BY

TRUSTED SHARES AND INVESTMENTS LTD;

FOR :

CASH, SEGMENT: Risk based approach:- Classification of both the new and existing clients into high, medium or low risk category depending on parameters such as the customer’s background, type of business relationship, transactions etc. Application of each of the client due diligence measures on a risk sensitive basis and adoption of an enhanced customer due diligence process for high risk categories of customers and vice-á-versa. Limit Setting:- Limits shall be monitored on daily basis, taking following criteria’s: Turnover, Exposure, past trends, Location, Deposit/Collateral. Margins:- Client level margin will be As per clients risk profile, prudent regulatory requirements and Dealer discretion in cash segment.

Criteria to collect margin will be on the basis of conduct of client regarding Past Pay-in Pay-out history.

Client under frequent default will be flagged for weekly meeting with the director and their business will be closely monitored.

Trading:-

Trading in illiquid scrip shall not be permitted. On detection of such trading, the risk manager shall use his discretion to shutdown the terminal after intimating branch manager and sub broker

Pay-in Of Fund & Stock:-

Third party pay-in of securities & fund will not be accepted. Same way pay out of shares and fund will be directly done to client account only. No securities belonging to one client be used/transferred for Own purpose or for other client.

Collections:-

Cash will not be accepted under any circumstances except cheque bouncing.

Collection of cheques from clients must be done by T+2 days except clients who have authorized us to have running account balance.

Attention Investors

1. No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorize your bank to make payment in case of allotment. No worries for refund as the money remain in investor’s account.

2. Prevent Unauthorized transactions in your account —> Update your mobile numbers/email IDs with your stock brokers.

3. KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary

4. AS PER SEBI DIRECTIVE (CIRCULAR NUMBERS: SEBI/HO/MIRSD/DOP/CIR/P/2020/28 & SEBI/HO/MIRSD/DOP/CIR/P/2020/143), EFFECTIVE FROM 1ST AUGUST 2020, FOR CREATION OF PLEDGE/UNPLEDGE, CLIENTS HAVE TO NECESSARILY AUTHENTICATE THE OTP RECEIVED ON THEIR MOBILE PHONES AND LINK RECEIVED ON THEIR EMAIL IDS. HENCE, ALL CLIENTS ARE REQUESTED TO KINDLY ENSURE THAT THE MOBILE NUMBER AND EMAIL ID REGISTERED WITH US ARE ACTIVE AND WORKING.

SEBI REGN NO

NSE CASH/F&O - INB/INF 231220931

BSE CASH/F&O - INB/INF 011220937

CDSL SEBI REG NO - IN-DP-462-2020

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