Investor Charter & Complaints Disposal Trends
Stock Broker Division • Ratnakar Securities Ltd.
Display of monthly complaints data received against the Stock Broker and annual disposal trends in compliance with SEBI master circular guidelines.
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Vision of Stock Broker
To facilitate investors to trade and invest with complete transparency, high standards of service, best execution practices, and to foster sustainable wealth creation while safeguarding investor interests at all times.
Mission of Stock Broker
To provide timely services, execution of orders with highest diligence, transparent reporting, seamless digital account opening, and prompt redressal of investor grievances strictly in line with SEBI & Exchange directives.
Details of Business Transacted by Stock Broker
Scope of financial market operations and product facilities offered to clients
Cash / Equity Segment
Execution of equity buy/sell orders across NSE & BSE with electronic contract notes.
Derivatives (F&O)
Trading in Equity & Index Futures and Options with real-time risk management.
Currency & Commodity
Trading on MCX and currency derivatives for hedging and investment.
Mutual Funds & SIPs
Direct and regular mutual fund transaction routing through exchange infrastructure.
SLBM (Securities Lending)
Lending and borrowing of eligible securities for additional yield.
Primary Markets / IPOs
Online IPO bidding, debt issues, and Sovereign Gold Bonds (SGB) facilitation.
Standard Timelines for Service Delivery
SEBI mandated turnaround times (TAT) for various client operations
| S.No. | Service Activity | Standard Expected Timeline |
|---|---|---|
| 1 | Client Registration / KYC Processing | Within 7 working days of receipt of complete documentation |
| 2 | Issuance of Electronic Contract Notes (ECN) | Within 24 hours of trade execution |
| 3 | Payout of Funds & Securities | Within 24 hours of payout declared by the Exchange |
| 4 | Issuance of Account Statement (Funds & Securities) | Monthly / Quarterly as per regulatory schedule |
| 5 | Issuance of Retention Statement / Funds Settlement | Within prescribed settlement dates (monthly/quarterly) |
| 6 | Resolution of Client Grievances | Within 30 calendar days from receipt of grievance |
Grievance Redressal Mechanism & Escalation Matrix
In case of any query or complaint, investors can follow the structured resolution hierarchy:
Customer Support
Contact customer service via phone or email for initial query redressal.
Tel: 079 - 49005200
Compliance Officer
If unresolved in 7 working days, escalate directly to the compliance department.
investorgrievance@ratnakarsecurities.comSCORES 2.0 Portal
Lodge complaint directly on SEBI online grievance redressal system.
scores.sebi.gov.inOnline Dispute Portal
Online Dispute Resolution Portal for conciliation and online arbitration.
smartodr.inRights of Investors
- Receive transparent copy of Client Registration Documents (KYC/Rights & Obligations).
- Receive contract notes within 24 hours of execution of trades.
- Receive funds and securities within prescribed SEBI settlement timelines.
- Receive statement of accounts at specified periodicity.
- Opt for dispute resolution through SEBI SCORES or SMART ODR mechanism.
Responsibilities of Investors
- Always verify broker credentials, SEBI registration number, and official bank accounts.
- Provide correct PAN, mobile number, and email ID for all official communications.
- Never share login credentials, MPIN, or trading passwords with anyone.
- Regularly check transaction statements received directly from Depository/Exchanges.
- Lodge complaints within specified timelines along with supporting documents.
DOs for Investors
- •Deal only with SEBI registered stock brokers and verify authorized person credentials on exchange websites.
- •Always ensure your mobile number and email ID are updated with the broker and depository for trade alerts.
- •Transfer funds only to designated client bank accounts declared by the Stock Broker.
- •Verify contract notes received via email and reconcile with monthly depository statement of accounts.
- •Pay 20% upfront margin of the transaction value before placing orders in the cash market segment.
DON'Ts for Investors
- •Do not share password, MPIN, OTP, or trading terminal credentials with anyone, including employees.
- •Do not sign blank Delivery Instruction Slips (DIS) or transfer forms.
- •Do not transfer funds to personal bank accounts of any employees or associates.
- •Do not fall prey to guaranteed, fixed, or unrealistic returns offered by unauthorized advisors.
- •Do not leave cash balances idle; opt for regular monthly or quarterly account settlements.
Ratnakar Securities Limited
SEBI Registration No. of NSE & BSE : INZ000191735 | SEBI Registration No. of NSDL : IN-DP-632-2021