Upstox Securities Pvt. Ltd.: A Comprehensive Overview

Upstox Securities Pvt. Ltd. is a prominent player in the Indian financial market, offering a range of services designed to cater to the needs of investors and traders. With a commitment to transparency and compliance, Upstox operates under the regulatory framework established by the Securities and Exchange Board of India (SEBI) and is a member of both the National Stock Exchange (NSE) and the Bombay Stock Exchange (BSE).

Company Information

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

Compliance and Contact Details

Upstox prioritizes compliance and investor protection. The Compliance Officer, Mr. Kapil Jaikalyani, can be reached at:

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

The registered address of Upstox is:

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

Associate Company

RKSV Commodities India Pvt. Ltd. is an associate of Upstox and operates under its own regulatory framework:

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

The Compliance Officer for RKSV Commodities is Mr. Amit Lalan, who can be contacted at the same telephone number as Upstox.

Filing Complaints

For any grievances, investors can reach out via:

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

SEBI SCORES Portal

Investors can file complaints through the SEBI SCORES portal. To register, you will need to provide:

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

This platform facilitates effective communication and speedy resolution of grievances.

Risk Disclosure

Investing in the securities market carries inherent risks. Upstox emphasizes the importance of understanding these risks before making investment decisions. Key points include:

• Market Risks: Investments are subject to market fluctuations.
• Brokerage Limits: Brokerage fees will not exceed SEBI-prescribed limits.
• Derivatives Risks: A significant percentage of individual traders incur net losses in equity futures and options.

Mutual Funds and Investment Advice

While Upstox provides access to top-rated mutual funds, it does not offer personalized investment advice. Investors are encouraged to read all offer documents carefully before investing.

Investor Warnings

Upstox, along with regulatory bodies like NSE and BSE, warns investors against:

• Dealing with unauthorized collective investment schemes.
• Sharing trading credentials or strategies.
• Trading in leveraged products without proper understanding.
• Relying on unsolicited tips from unverified sources.

KYC and Security Measures

Investors are urged 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, it does not need to be repeated with other intermediaries.

Online Dispute Resolution

SEBI has established an Online Dispute Resolution (ODR) Portal to streamline the dispute resolution process in the Indian securities market. This initiative aims to benefit both investors and listed companies by offering online conciliation and arbitration.

• ODR Portal for Investors: ODR Portal

Conclusion

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