Code of Conduct and Investor Protection Measures
6 sub-topics in this chapter
10.1
SEBI's Code of Conduct for Brokers
Sub-topic 1
10.2
Investor Grievance
Sub-topic 2
10.3
Handling of Investor Claims and Complaints in Case of Default of a Trading Member or Clearing Member
Sub-topic 3
10.4
Investor Protection Fund
Sub-topic 4
10.5
Execution of Power of Attorney (PoA) by the Client in Favour of the Stock Broker or Stock Broker and Depository Participant
Sub-topic 5
10.6
Risk Disclosure to Client and KYC
Sub-topic 6