Upstox Securities Pvt. Ltd. has emerged as a prominent player in the Indian financial market, providing a range of services that cater to both novice and experienced investors. 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 Credentials
SEBI Registration No.: INZ000315837
NSE TM Code: 13942
BSE TM Code: 6155
CDSL Reg No.: IN-DP-761-2024
CIN: U65100DL2021PTC376860
Compliance and Contact Information
Upstox places a strong emphasis on compliance and investor protection. The Compliance Officer, Mr. Kapil Jaikalyani, can be reached at:
The registered address of Upstox is:
809, New Delhi House,
Barakhamba Road,
Connaught Place,
New Delhi – 110001.
RKSV Commodities India Pvt. Ltd.
In addition to its securities services, Upstox is associated with RKSV Commodities India Pvt. Ltd., which has its own set of credentials:
SEBI Registration No.: INZ000015837
MCX TM Code: 46510
CIN: U74900DL2009PTC189166
The Compliance Officer for RKSV Commodities is Mr. Amit Lalan, reachable at:
The registered address is the same as Upstox, with a correspondence address at:
30th Floor, Sunshine Tower,
Senapati Bapat Marg,
Dadar (West),
Mumbai – 400013.
Filing Complaints
For any grievances, investors can reach out via:
SEBI SCORES Portal
Investors can file complaints through the SEBI SCORES portal. The process involves:
Registering on the SCORES portal.
Providing mandatory details such as Name, PAN, Address, Mobile Number, and Email ID.
This system ensures effective communication and speedy resolution of grievances. For further information, investors should read the Risk Disclosure Document and the Terms of Use and Privacy Policy.
Investment Risks and Disclaimers
Investing in the securities market carries inherent risks. Upstox emphasizes the importance of understanding these risks:
Market Risks: Investments are subject to market fluctuations.
Brokerage Fees: Brokerage will not exceed the limits prescribed by SEBI.
Derivatives Risks: Statistics indicate that 9 out of 10 individual traders in the equity Futures and Options segment incur net losses, averaging ₹50,000 in losses.
Mutual Funds and Advisory
While Upstox provides access to mutual funds, it does not offer investment advice. Investors are encouraged to read the offer documents carefully before investing. Upstox acts solely as a distributor for these products.
Investor Awareness and Guidelines
Upstox urges investors to be cautious and avoid unauthorized schemes. As per NSE and BSE circulars, investors should refrain from:
Sharing trading credentials.
Trading in leveraged products without proper understanding.
Engaging with unauthorized investment advisors.
KYC and Security Measures
Investors are reminded to keep their KYC information updated. This is a one-time process, and once completed through a SEBI-registered intermediary, it does not need to be repeated for other intermediaries.
To prevent unauthorized transactions, investors should:
Update their mobile numbers with their depository participants.
Receive alerts for important transactions directly from CDSL.
Conclusion
Upstox Securities Pvt. Ltd. stands out as a reliable and compliant entity in the Indian financial landscape. With a focus on investor education and risk management, it provides a robust platform for trading and investment. As always, potential investors are encouraged to conduct thorough research and consult with financial advisors before making investment decisions.
For more information, visit Upstox or reach out to their compliance team for any queries or concerns.
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