Our Circulars
Date Subject Category Download Here
17/05/20223
PMLA-POLICY
PMLA-POLICY-may-2023.pdf
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17/05/2023
Surveillance-Policy-DP
Surveillance-Policy DP
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14/01/2022
Mandatory-Updation
Mandatory-Updation-of-Certain-Attributes-of-KYC-of-Clients-Advisory
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05/01/2022
INFORMATION CONTAINED IN LINKS TO THE INVESTOR CHARTER FOR DEPOSITORIES AND DPS
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05/01/2022
Format for investor complaints Data to be displayed by Depository Participants on their respective website
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22/11/2018
RIGHTS AND OBLIGATIONS
RIGHTS AND OBLIGATIONS OF STOCK BROKERS, SUB-BROKERS AND CLIENTS
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22/10/2018
PMLA
Prevention of Money Laundering
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22/10/2018
SORM Policy
Securities Operation & Risk Managment
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17/5/2017
PMLA
Prevention of Money Laundering
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11/4/2017
Revised RMS policy
RMS
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24/3/2017
Revised RMS policy
RMS
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6/3/2017
Revised Policy
Clearing & Settlement
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24/10/2016
Addition in Business policy
Revised Business Policy
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12/1/2017
Debit balance account
RMS
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8/3/2016
KYC3
KYC
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8/3/2016
KYC2
KYC
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8/3/2016
KYC1
KYC
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16/1/2016
Modified Surveillance Management System
SURVEILLANCE SYSTEM POLICY
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16/1/2016
Surveillance Management System
SURVEILLANCE SYSTEM POLICY
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16/1/2016
Code of Conduct
Code of Conduct
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16/1/2015
Modified policy
Code Modification
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8/4/2013
Business Rule
Latest business rule
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17/7/2012
Insider Policy
MODEL CODE CONDUCT FOR PREVENTION OF INSIDER TRADING OF DFSL
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14/5/2012
RMS policy
Board approved RMS Policy for trading
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28/4/2012
Clarifications of funding
Fund based activities of brokers action taken in case of debit balances in sub-brokers /authorised person/clients account
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23/4/2012
KYS details upload in the KRA
Uplading existing clients KYC details in the KRA system
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20/3/2012
DP Circular
DP Incentive Schemes
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23/2/2012
Pre-funded Policy
Policy for Pre-funded Instrument Investment Acceptance
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8/1/2012
News Circulation
UNAUTHORISED NEWS CIRCULATION POLICY
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16/1/2012
Cheque Dishonor
Dishonor of cheque by clients
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6/1/2012
New KYC
New KYC Form
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4/1/2012
Settlement policy
Client account settlement policy
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4/1/2012
Code modify policy
Client code modification
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2/1/2012
No payment by third party
Payment from Client Should be made from client accounts only
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20/12/2011
Revised Connectivity charges
CONNECTIVITY CHARGES
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21/11/2011
Account close Form
Account closer form of all segment
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27/4/2011
Connectivity charges
Revised connectivity charges of DFSL
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23/8/2009
Pmla
Prevention of money laundering Policy
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5/4/2008
Contact Details
Employees contact and phone no.
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8/3/2009
Kyc Form
Know your client form of DFSL
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