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Client Registration Documents

KYC Documents (In English)

Rights and Obligations of Members, Authorized Persons and Clients, Risk Disclosure Document and Guidance Note - Do’s And Don’ts For The Clients

English
DOCUMENT IN VERNACULAR
Assamese
অসমীয়া) Bengali
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اردو

Note : "This document is a translated version of the client registration documents in English and is being provided in vernacular language to facilitate better understanding by the investors. In case of any ambiguity, the contents of the English version would prevail."

Rainbow(Your Smile Our Reward)

We offer ideas that raise your

Wealth above the expected

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Investor Charter

Vision

Towards making Indian Securities Market - Transparent, Efficient, & Investor friendly by providing safe, reliable, transparent and trusted record keeping platform for investors to hold and transfer securities in dematerialized form.

Mission

  • To hold securities of investors in dematerialised form and facilitate its transfer, while ensuring safekeeping of securities and protecting interest of investors.

  • To provide timely and accurate information to investors with regard to their holding and transfer of securities held by them.

  • To provide the highest standards of investor education, investor awareness and timely services so as to enhance Investor Protection and create awareness about Investor Rights.

    • Details of business transacted by the Depository and Depository Participant (DP)

    A Depository is an organization which holds securities of investors in electronic form. Depositories provide services to various market participants - Exchanges, Clearing Corporations, Depository Participants (DPs), Issuers and Investors in both primary as well as secondary markets. The depository carries out its activities through its agents which are known as Depository Participants (DP). Details available on the link https://www.cdslindia.com/DP/dplist.aspx

    Description of services provided by the Depository through Depository Participants (DP) to investors

    (1) Basic Services
    Sr. No. Brief about the Activity / Service Expected Timelines for processing by the DP after receipt of proper documents
    1 Dematerialization of securities 7 days
    2 Rematerialization of securities 7 days
    3 Mutual Fund Conversion / Destatementization 5 days
    4 Re-conversion / Restatementisation of Mutual fund units 7 days
    5 Transmission of securities 7 days
    6 Registering pledge request 15 days
    7 Closure of demat account 30 days
    8 Settlement Instruction Depositories to accept physical DIS for pay-in of securities upto 4 p.m and DIS in electronic form upto 6 p.m on T+1 day

    (2) Depositories provide special services like pledge, hypothecation, internet based services etc. in addition to their core services and these include
    Sr. No. Type of Activity /Service Brief about the Activity / Service
    1 Value Added Services Depositories also provide value added services such as
    a. Basic Services Demat Account (BSDA)
    b. Transposition cum dematerialization
    c. Linkages with Clearing System
    d. Distribution of cash and non-cash corporate benefits (Bonus, Rights, IPOs etc.), stock lending.
    2 Consolidated Account statement (CAS) CAS is issued 10 days from the end of the month (if there were transactions in the previous month) or half yearly(if no transactions) .
    3 Digitalization of services provided by the depositories Depositories offer below technology solutions and e-facilities to their demat account holders through DPs:
    a. E-account opening
    b. Online instructions for execution
    c. e-DIS / Demat Gateway
    d. e-CAS facility
    e. Miscellaneous services

    Details of Grievance Redressal Mechanism

    (1) The Process of investor grievance redressal
    1 Investor Complaint/ Grievances Investor can lodge complaint/ grievance against the Depository/DP in the following ways:
    b. Offline mode :

    For tracking of your grievance, we request you to submit the same online through the portal.
    The complaints/ grievances lodged directly with the Depository shall be resolved within 30 days
    2 Investor Grievance Redressal Committee of Depository Click here
    3 Arbitration proceedings Click here

    (2) For the Multi-level complaint resolution mechanism available at the Depositories please refer to link Complaint Resolution process at Depositories

    Guidance pertaining to special circumstances related to market activities: Termination of the Depository Participant

    Sr. No. Type of special circumstances Timelines for the Activity/ Service
    1
  • Depositories to terminate the participation in case a participant no longer meets the eligibility criteria and/or any other grounds as mentioned in the bye laws like suspension of trading member by the Stock Exchanges.

  • Participant surrenders the participation by its own wish.
    		•  Client will have a right to transfer all its securities to any other Participant of its choice without any charges for the transfer within 30 days from the date of intimation by way of letter/email.

    Dos and Don’ts for Investors

    For Do’s and Don’ts please refer to the link Dos and Don’ts for Investor

    Rights of investors

    For rights please refer to the link Rights of investors

    Responsibilities of Investors

    For responsibilities please refer to the link Responsibilities of Investors

    << SEBI circular on Investor Charter >>

    Advisory - KYC Compliance

    • All investors are requested to take note that 6 KYC attributes i.e. Name, PAN, Address, Mobile Number, Email id and Income Range have been made mandatory. Investors availing custodian services will be additionally required to update the custodian details.
    • Investors may contact their respective stockbrokers / depository participants for updation of details in their trading / demat account.
    • The last date to update KYC is on or before March 31, 2022.
    • Thereafter non-compliant trading accounts will be blocked for trading by the Exchange.
    • The non-compliant demat accounts will be frozen for debits by Depository Participant or Depository.
    • On submission of the necessary information to the stockbroker and updation of the same by the stockbroker in the Exchange systems and approval by the Exchange, the blocked trading accounts shall be unblocked by the Exchange on T+1 trading day.
    • The demat account shall be unfreezed once the investor submits the deficient KYC details and the same is captured by the depository participant in the depository system.
    • To ensure smooth settlement, the investors are requested to ensure that both the trading and demat accounts are compliant with respect to the KYC requirement.
    • The investors are hereby requested to comply with the regulatory guidelines issued by Exchanges and Depositories from time to time with regard to KYC compliance and related requirements.

    Data for every month ending

    Data for every month ending

    SN Received from Carried forward from previous month Received during the month Total Pending# Resolved* Pending at the end of the month** Average Resolution time^ (in days)
    Pending for less than 3 months Pending for more than 3 months
    1 Directly from Investors NIL NIL NIL NIL NIL NIL NIL
    2 SEBI(SCORES) NIL NIL NIL NIL NIL NIL NIL
    3 Stock Exchanges NIL NIL NIL NIL NIL NIL NIL
    4 Depositories NIL NIL NIL NIL NIL NIL NIL
    5 Other Sources (if any) NIL NIL NIL NIL NIL NIL NIL
    6 Grand Total NIL NIL NIL NIL NIL NIL NIL

    Trend of monthly disposal of complaints

    Sr.No Month Carried forward from previous month Received Resolved Pending
    1 Apr-21 NIL NIL NIL NIL
    2 May-21 NIL NIL NIL NIL
    3 Jun-21 NIL NIL NIL NIL
    4 Jul-21 NIL NIL NIL NIL
    5 Aug-21 NIL NIL NIL NIL
    6 Sep-21 NIL NIL NIL NIL
    7 Oct-21 NIL NIL NIL NIL
    8 Nov-21 NIL NIL NIL NIL
    9 Dec-21 NIL NIL NIL NIL
    10 Jan-22 NIL NIL NIL NIL
    11 Feb-22 NIL NIL NIL NIL
    12 Mar-22 NIL NIL NIL NIL
    13 Apr-22 NIL NIL NIL NIL
    14 May-22 NIL NIL NIL NIL
    15 Jun-22 NIL NIL NIL NIL
    16 Jul-22 NIL NIL NIL NIL
    17 Aug-22 NIL NIL NIL NIL
    18 Sep-22 NIL NIL NIL NIL
    19 Oct-22 NIL NIL NIL NIL
    20 Nov-22 NIL NIL NIL NIL
    21 Dec-22 NIL NIL NIL NIL
    22 Jan-23 NIL NIL NIL NIL
    23 Feb-23 NIL NIL NIL NIL
    24 Mar-23 NIL NIL NIL NIL
    25 Apr-23 NIL NIL NIL NIL
    26 May-23 NIL NIL NIL NIL
    27 Jun-23 NIL NIL NIL NIL
    28 Jul-23 NIL NIL NIL NIL
    29 Aug-23 NIL NIL NIL NIL
    30 Sep-23 NIL NIL NIL NIL
    31 Oct-23 NIL NIL NIL NIL
    32 Nov-23 NIL NIL NIL NIL
    33 Dec-23 NIL NIL NIL NIL
    34 Jan-24 NIL NIL NIL NIL
    35 Feb-24 NIL NIL NIL NIL
    36 Mar-24 NIL NIL NIL NIL
    37 Apr-24 NIL NIL NIL NIL
    38 May-24 NIL NIL NIL NIL
    39 Jun-24 NIL NIL NIL NIL
    Grant Total NIL NIL NIL NIL
    • *Should include complaints of previous months resolved in the current month, if any
    • **Should include total complaints pending as on the last day of the month, if any.
    • ^Average resolution time is the sum total of time taken to resolve each complaint in the current month divided by total number of complaints resolved in the current month.

    Trend of annual disposal of complaints

    SN Year Carried forward from previous year Received during the year Resolved during the year Pending at the end of the year
    1 2017-18 NIL NIL NIL NIL
    2 2018-19 NIL NIL NIL NIL
    3 2019-20 NIL NIL NIL NIL
    4 2020-21 NIL NIL NIL NIL
    5 2021-22 NIL NIL NIL NIL
    6 2022-23 NIL NIL NIL NIL
    7 2023-24 NIL NIL NIL NIL
    Grand Total NIL NIL NIL NIL
    RAINBOWCorporate Philosophy
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    Rainbow GroupCentre point.
    21, Hemant Basu Sarani
    3rd floor, Room No.305,
    Kolkata - 700001,
    West Bengal, India.

    +91-033-22135183 / 5184, + 91-9330997282
    +91-033-22134943

    rainbow@rainbowindia.co.in

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    ATTENTION INVESTORS >
    Prevent Unauthorized Transactions in your demat account - update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day. We also engage in Proprietary Trading in addition to Client based Business.

    KYC 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.

    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

    “The Stock Exchange, Mumbai is not in any manner answerable, responsible or liable to any person or persons for any acts of omission or commission, errors, mistakes and/or violation, actual or perceived, by us or our partners, agents, associates etc., of any of the Rules, Regulations, Bye-laws of the Stock Exchange, Mumbai, SEBI Act or any other laws in force from time to time. The Stock Exchange, Mumbai is not answerable, responsible or liable for any information on this Website or for any services rendered by our employees, our servants, and us. ”

    As per SEBI circular no. SEBI/HO/MRD2_DCAP/CIR/2021/0598 dated July 20, 2021 a framework has been put in place for "Segregation and Monitoring of Collateral at Client Level". The said circular inter-alias stipulated that minimum 50% cash equivalent collateral requirement applicable at the client level.
    In view of the above, w.e.f. 02nd May 2022, Client shall be required to maintain Cash and Non Cash Collateral in the ratio of 50:50 at client level.
    Hence, for the smooth and uninterrupted trading, kindly maintain your collateral in 50:50 proportion between Cash & Non Cash Collateral from the said given date. For any clarification, kindly contact your relationship manager or 033 22135183.

  • INVESTOR CHARTER-DP
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    Rainbow Group, Centre Point, 21, Hemant Basu Sarani, 3rd Floor, Room No. 305, Kolkata - 700001, West Bengal, India.
    Rainbow Securities Private Limited  SEBI REGISTRATION NUMBER - INZ000190631 NSE MEMBER ID - 12089 (Equity, Equity Derivatives and Currency Derivatives segment) BSE MEMBER ID - 6422 (Equity, Equity Derivatives and Currency Derivatives segment) MSEI MEMBER ID - 33200 (Equity, Equity Derivatives and Currency Derivatives segment) CDSL DP ID 12077000, Sebi Regn No. IN-DP-CDSL-689-2013 AMFI Registration No. ARN8600, GSTIN - 19AABCB2981K1ZE
    Rainbow India IFSC Limited   SEBI REGISTRATION NO: INZ000161131, INDIA INX MEMBER ID: 5048
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