Regulatory Compliance

Regulatory Compliance

Annexure B – Formats of Mandatory display

i - Basic details of the SB such as registration number, registered address of Head Office and branches if any –

Stock Broker Name Registration Number Registered Address Branches (if any) Contact Number email ID
Ashish Vaid INZ000261612 115, MAKER CHAMBERS- III, 223,NARIMA N POINT, MUMBAI - 400021 NO 022-43439900 ashishvaid_fo@yahoo.in

Escalation Matrix:

Details of Contact Person Address Contact No. Email Id
Customer care
Head of Customer care Rajan Parab 115, MAKER CHAMBERS-III, 223,NARIMAN POINT, MUMBAI - 400021 022-43439912 rajan.parab@ashishestates.com
Compliance Officer Kishor Nadkarni 115, MAKER CHAMBERS-III, 223,NARIMAN POINT, MUMBAI - 400021 022-43439906 kishor.nadkarni@ashishestates.co m
Proprietor Ashish Vaid 115, MAKER CHAMBERS-III, 223,NARIMAN POINT, MUMBAI - 400021 022-43439900 ashishva2008@gmail.com

ii. Names and contact details of all Key Managerial Personnel including the Compliance Officer-

Sr. No. Name of the Individual Designation Mobile Number Email Id
1 NA The Chief Executive Officer or the Managing Director or the Manager
2 NA The Company Secretary
3 NA The Whole-Time Director
4 NA The Chief Financial Officer
5 NA Such other officer as may be prescribed.
6 Kishor Nadkarni The Compliance Officer 9511695508
7 Ashish Vaid Proprietor, 9967630322

iii. Step by step procedures for opening an account, filing a complaint on designated email id, and finding out the status of the complaint etc.

  1. Detailed write up on the procedure for opening an account along with Flowchart and video if any (optional).
  2. Detailed write up on procedure for filing a complaint on designated email id/ Toll-free number along with Flowchart and video if any (optional). Provisions are to be made for sharing Ticket Number once the complaint is lodged.
  3. Detailed write up on procedure for finding out status of the complaint basis Ticket Number etc. along with Flowchart and video if any (optional).

iv. Details of Authorized Persons ( Not Applicable )

List Of Authorised Persons (AP)
Sr. No. Authorised Person's Name Authorised Person Code (Exchange wise) Constitution Status Registered Address Terminal Details (Exchange Wise)
(Approved / Cancelled) Add City State Pin code Terminal Allotted (Y/N) No. of Terminals
1
2
3
4
List of Authorised Persons (AP) Cancelled by Members on Account of Disciplinary Reasons
Sr. No. Authorised Person's Name Status Authorised Person Cancellation Details
Date Reason
1

Bank Account Details

Sr. No. Name of Bank Account Bank Account Number IFSC
1 ASHISH VAID USCNB ACCOUNT 9146369095 KKBK0000958