Upstox Securities Pvt. Ltd.: A Comprehensive Overview

Introduction

Upstox Securities Pvt. Ltd. is a prominent player in the Indian financial market, providing a range of services to investors and traders. With its SEBI registration and compliance with regulatory standards, Upstox has established itself as a reliable platform for trading in securities. This article delves into the various aspects of Upstox, including its registration details, compliance measures, and investor advisories.

Company Overview

Registration and Compliance

Upstox Securities Pvt. Ltd. operates under the following regulatory frameworks:

• SEBI Registration No.: INZ000315837
• NSE TM Code: 13942
• BSE TM Code: 6155
• CDSL Reg No.: IN-DP-761-2024
• CIN: U65100DL2021PTC376860

The company is committed to adhering to the guidelines set forth by the Securities and Exchange Board of India (SEBI), ensuring a secure trading environment for its clients.

Key Personnel

The compliance of Upstox is overseen by Mr. Kapil Jaikalyani, the Compliance Officer. Investors can reach out to him at:

• Tel No.: (022) 24229920
• Email ID: compliance@upstox.com

Registered Address

Upstox is headquartered at:

809, New Delhi House,
Barakhamba Road,
Connaught Place,
New Delhi – 110001

Services Offered

Upstox provides a variety of services tailored to meet the needs of both retail and institutional investors. These include:

• Equity Trading: Access to stock markets for buying and selling shares.
• Derivatives Trading: Opportunities to trade in futures and options.
• Mutual Funds: Investment options in various mutual fund schemes.
• Commodities Trading: Trading in commodities through its associate, RKSV Commodities India Pvt. Ltd.

RKSV Commodities India Pvt. Ltd.

This associate company operates under its own SEBI registration:

• SEBI Registration No.: INZ000015837
• MCX TM Code: 46510
• CIN: U74900DL2009PTC189166

The Compliance Officer for RKSV Commodities is Mr. Amit Lalan, reachable at:

• Tel No.: (022) 24229920
• Email ID: compliance@rksv.in

Investor Support and Complaints

Upstox places a strong emphasis on customer support and grievance redressal. For any complaints, investors can contact:

• Upstox Complaints: complaints@upstox.com
• RKSV Commodities Complaints: complaints.mcx@upstox.com

Filing Complaints on SEBI SCORES

Investors can file complaints through the SEBI SCORES portal. The mandatory details required include:

• Name
• PAN
• Address
• Mobile Number
• Email ID

This platform ensures effective communication and speedy resolution of grievances.

Risk Disclosures

Investing in the securities market involves inherent risks. Upstox advises investors to read all related documents carefully before making any investment decisions. Key points include:

• Market Risks: Investments are subject to market fluctuations.
• Transaction Costs: Loss makers in equity futures and options incur significant transaction costs.

Mutual Funds Advisory

While Upstox provides access to various mutual funds, it is essential for investors to read the offer documents carefully. The research data is powered by Morningstar, ensuring informed decision-making.

Investor Warnings

Upstox urges investors to be cautious and avoid unauthorized schemes or collective investments. Specific practices to avoid include:

• Sharing trading credentials.
• Trading in leveraged products without proper understanding.
• Relying on unsolicited tips from unverified sources.

KYC and Security Measures

Investors are reminded to update their KYC details and mobile numbers with their depository participants to prevent unauthorized transactions. KYC is a one-time process, and once completed, investors do not need to undergo it again when approaching a new intermediary.

Conclusion

Upstox Securities Pvt. Ltd. stands as a reliable and compliant entity in the Indian financial market. With a focus on investor education, risk management, and customer support, Upstox aims to empower investors to make informed decisions. As always, potential investors should conduct thorough research and consider their risk tolerance before engaging in trading activities.

For more information and updates, visit the official Upstox website or reach out to their compliance team.