Investor Charter

Published by Probulls Stockbroking Private Limited as mandated by SEBI circular SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2025/22 dated February 21, 2025.

Circular Reference: SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2025/22 dated February 21, 2025 (Investor Charter for Stock Brokers and Depository Participants)
Published by: Probulls Stockbroking Private Limited | SEBI Reg. No.: INZ000210932 | NSE Member ID: 13043
Effective Date: This charter supersedes all prior versions based on SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023.

A. Vision & Mission

Probulls Stockbroking Private Limited is committed to providing its clients with quality broking and related services in an honest, transparent, fair and efficient manner, so as to enable them to meet their financial goals. We aim to uphold the highest standards of regulatory compliance, investor protection and market integrity.

B. Rights of Investors

- Receive clear, complete and accurate information about charges, risks and features of products/services before and after account opening.
- Receive contract notes (trade confirmation) electronically on the same day of trade execution, duly signed/authenticated.
- Receive credit of securities in demat account or funds within T+1 or T+2 working days as applicable after settlement.
- Receive margin statements and fund/securities ledger statements at regular intervals and on demand.
- Receive the Unique Client Code (UCC) at the time of account opening.
- Know the name, designation and contact details of the Compliance Officer and Grievance Officer.
- Lodge complaints with the broker's Customer Care / Grievance Officer and receive written acknowledgement with a reference number.
- Escalate unresolved complaints to SEBI SCORES 2.0 (scores.sebi.gov.in) or SMART ODR (smartodr.in).
- Seek arbitration at NSE/BSE for disputes not resolved through the broker's grievance mechanism.
- Receive the Most Important Terms and Conditions (MITC) governing the trading and demat account.
- Opt for running account settlement of funds at the end of every quarter (or month, if opted).
- Not be subjected to unauthorized trading, churning or misuse of funds/securities.
- Receive all communications (contract notes, margin calls, bills, etc.) through registered email or mobile.

C. Obligations of Investors

- Complete KYC formalities honestly and update the broker promptly about any change in personal details (address, bank, email, mobile).
- Read and understand the Risk Disclosure Document (RDD), MITC and all terms before trading.
- Deal only with SEBI-registered intermediaries. Verify registration on SEBI website before transacting.
- Provide accurate information on income, net worth and risk appetite in the account opening form.
- Collect contract notes and verify correctness of trades executed; report any discrepancy promptly.
- Maintain sufficient margin/funds in the trading account before placing orders; understand margin calls.
- Keep login credentials (trading platform ID, password) strictly confidential; do not share with anyone.
- Trade within personal financial means; understand that F&O and other leveraged products involve higher risk.
- Lodge grievances through proper channels; provide accurate and complete complaint details.
- Ensure the bank account linked to the trading account is in your own name only.

D. Do's and Don'ts for Investors

Do's
Always deal with SEBI-registered intermediaries. Verify at sebi.gov.in
Insist on receiving contract notes for every trade executed on the same day.
Verify that the UCC (Unique Client Code) on contract notes matches your registered code.
Read the Risk Disclosure Document (RDD) before trading in derivatives.
Ensure that your trading account is settled periodically (funds and securities).
Lodge grievances promptly; keep all correspondence for reference.
Register on SCORES 2.0 (scores.sebi.gov.in) for escalation if required.

Don'ts
Do not deal with unregistered brokers, agents or sub-brokers not registered with exchanges.
Do not share your trading credentials or OTPs with anyone, including broker staff.
Do not accept tips from social media "finfluencers" without verifying their SEBI registration.
Do not transfer funds to any account other than the broker's designated client bank account.
Do not trade on borrowed funds or allow others to trade on your account.
Do not sign blank documents or undated papers at any time.
Do not ignore margin calls — unmet margins may result in position square-off.

E. Grievance Redressal — Time-Bound Resolution

Level	Contact	Email	TAT
L1 — Customer Care	Aman Chowdhury +91 33 45092825	admin@probulls.in	3 working days
L2 — Grievance Officer	Bijay Laxmi Sharma +91 33 45092827	investorgrievance@probulls.in	7 working days
L3 — Compliance Officer	Samrendra Tibarewalla +91 98310 01983	compliance@probulls.in	21 working days
SEBI SCORES 2.0	scores.sebi.gov.in		Per SEBI norms
SMART ODR	smartodr.in		Per ODR norms

For complaints, email investorgrievance@probulls.in or escalate to SEBI SCORES 2.0.

F. Useful Links for Investors