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Investor Charters and Complaints

About the Company, Vision, Mission, Escalation Matrix, Charters and Complaints, all at one place.

About ASL - 5
- Basic Details of ASL
  
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- KMP Details
  
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- Details of Authorized Person
  
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- Cancellation of AP (Disciplinary Actions)
  
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- Investor Grievances Escalation Matrix
  
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Investor Charters - 6
- Demat Investor Charter
  
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- Investment Advisor - Investor Charter
  
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- Investor Charter - Stock Broker
  
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- Research Analyst Investor Charter
  
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- PMS Investor Charter
  
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- Risk-Disclosures
  
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Investor Complaints - 5
- Trading Complaints April 2024
  
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- DP Complaints April 2024
  
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- Research Complaints April 2024
  
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- Investment Advisory Complaints April 2024
  
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- PMS Complaints April 2024
  
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Unit 002 A, Building - A, Agastya Corporate Park, Piramal Realty, Kamani Junction, Kurla West,
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Investments in securities market are subject to market risks. Read all the related documents carefully before investing.
Axis Direct is a brand under which Axis Securities Limited offers its retail broking and investment services.Trading Member| Axis Securities Limited,CINNo.U74992MH2006PLC163204 | SEBI Single Reg. No.- NSE, BSE,MSEI, MCX & NCDEX – INZ000161633 | ARN- 64610 SEBI-Research Analyst Reg. No. INH 000000297
IRDA Corporate Agent (Composite) Reg. No. CA0073 | Portfolio Manager Reg. No.- INP000000654 | SEBI Depository Participant Reg. No. IN-DP-403-2019, Compliance Officer – Mr. Jatin Sanghani, Email – compliance.officer@axisdirect.in, Tel No. – 022-68555574, SEBI office addresses- https://www.sebi.gov.in/contact-us.html)
In case of any grievances please write to: helpdesk@axisdirect.in

Registered office address: Axis House, 8th Floor, Wadia International Centre, Pandurang Budhkar Marg, Worli, Mumbai-400025.

Administrative office address:Aurum Q Parć, Q2 Building, Unit No. 1001, 10th Floor, Level – 6, Plot No. 4/1 TTC, Thane - Belapur Road, Ghansoli, Navi Mumbai, Pin Code – 400710.

Attention Axis Direct Investors

Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
Pay 20% upfront margin of the transaction value to trade in cash market segment.
Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020 and other guidelines issued from time to time in this regard.
Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

Contact details: To prevent unauthorized transactions in your account, kindly update your mobile numbers/email IDs with your stock broker, M/S Axis Securities.Receive information of your transactions directly from Exchange on your mobile/email at the end of the day.
KYC NotificationKYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary
KYC details: Please update your KYC attributes i.e Income range, Email Id, Mobile number, Address in your Trading & Demat account.Please link your Aadhaar with PAN number for smooth functioning of your account.
Advisory against Tips:Investors are advised not to blindly follow the unfounded rumours, Tips given in social networks, SMS, WhatsApp, Blogs etc. and invest only after conducting appropriate analysts of respective companies. Beware of fraudster entities operating throughout India and sending bulk messages on the pretext of providing investment tips and luring investors to invest with them in their bogus firms by promising hefty profits.
IPO Investment:No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise
your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.
Client Registration Documents:Client Registration Documents are now available in Vernacular Language for NSE for BSE for MCX For NCDEX
ADVISORY TO DEMAT ACCOUNT HOLDERS:Click here to know more
NSDL Customer Centric Initiatives (Dos and Dont's):Click here to know more
CDSL Dos and Dont's:Click here to know more
Attention investors:Click here to know more
Educational note on AML/CFT:Click here to know more
Filing complaints on SCORES - Easy & quick:
a. Register on SCORES portal
b. Mandatory details for filing complaints on SCORES are
i. Name, PAN, Address, Mobile Number, E-mail ID.
c.Benefits:
i. Effective communication
ii. Speedy redressal of the grievances.
Central Vigilance Commission (CVC): Please visit CVC website at https://pledge.cvc.nic.in and take "Integrity Pledge" to be an active part of the "Satark Bharat, Samriddh Bharat" (Vigilant India, Prosperous India).
Precautions for clients dealing in Options:Click here to know more.
E-Voting Links: NSDL Voting Link, CDSL : https://evoting.cdslindia.com/Evoting/EvotingLogin.

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Investor Charters and Complaints

About the Company, Vision, Mission, Escalation Matrix, Charters and Complaints, all at one place.

About ASL - 5

Basic Details of ASL

KMP Details

Details of Authorized Person

Cancellation of AP (Disciplinary Actions)

Investor Grievances Escalation Matrix

Investor Charters - 6

Demat Investor Charter

Investment Advisor - Investor Charter

Investor Charter - Stock Broker

Research Analyst Investor Charter

PMS Investor Charter

Risk-Disclosures

Investor Complaints - 5

Trading Complaints April 2024

DP Complaints April 2024

Research Complaints April 2024

Investment Advisory Complaints April 2024

PMS Complaints April 2024