Our Policies - Findoc Financial Services

Sr No	Received from
1	Directly from Investors	NA
2	SEBI (SCORES)	NA
3	Stock Exchanges	NA
4	Other Sources (if any)	NA
	Grand Total	NA

Sr.No	Month	Carried forward from previous month	Received	Resolved	Pending
1	Apr-22	0	0	0	0
2	May-22	0	0	0	0
3	Jun-22	0	0	0	0
4	Jul-22	0	0	0	0
5	Aug-22	0	0	0	0
6	Sep-22	0	0	0	0
7	Oct-22	0	0	0	0
8	Nov-22	0	1	0	1
9	Dec-22	1	0	1	0
10	Jan-23	0	0	0	0
11	Feb-23	0	0	0	0
12	Mar-23	0	2	0	2
13	April-23	2	0	2	0

Sr. No.	Year		Received during the year	Resolved during the year		Pending at the end of the year
1	2017-18	0	0
2	2018-19	2	2
3	2019-20	0	0
4	2020-21	1	1
5	2021-22	1	1
6	2022-23	3	3
7	2023-24	0	0
	Grand Total	7	7

S N	Received from	Carried forward from previous month	Received during the month	Total pending	Resolved	Pending at the end of the month	Average Resolution Date
1	2	3	4	5	6	7	8
1	Received from Investors	0	0	0	0	0	0	NA
2	SEBI(SCORES)	0	0	0	0	0	0	NA
3	Depositories	0	0	0	0	0	0	NA
4	Other sources(If any)	0	0	0	0	0	0	NA
5	Grand Total	0	0	0	0	0	0	NA

S N	Month	Received	Resolved
1	Apr - 2022	0	0
2	May - 2022	0	0
3	June -2022	0	0
4	July -2022	0	0
5	Aug -2022	0	0
6	Sep -2022	0	0
7	Oct - 2022	1	1
8	Nov - 2022	0	0
9	Dec - 2022	0	0
10	Jan - 2023	0	0
11	Feb - 2023	0	0
12	Mar - 2023	0	0
13	Apr - 2023	0	0

SN	Year		Received during the year	Resolved during the year		Pending at the end of the year
1	2017-18	1	1
2	2018-19	0	0
3	2019-20	0	0
4	2020-21	1	1
5	2021-22	1	1
6	2022-23	1	1
7	2023-24	0	0
	Grand Total	4	4

Important Message The information contained in this file is provided for informational purposes only, and should not be construed as legal advice on any matter. The content and interpretation of the law addressed herein is subject to revision. We disclaim all liability in respect to actions taken or not taken based on any or all the contents of this file to the fullest extent permitted by law. Every effort is made to avoid errors. In spite of that, errors and discrepancies may creep in. It is expressly stated that neither Findoc Investmart Private Limited nor any of the contributors of updates will be responsible for any damage to anybody on the basis of this document. Readers are, therefore, requested to cross check with the original sources e.g. Government publications, Orders, Judgments etc., before taking any action or making any decision. These services are being provided through our group companies Findoc Capital Mart Pvt Ltd and Findoc Finvest Private Limited

Attention Investors

1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.
2. 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.
3. Pay 20% upfront margin of the transaction value to trade in cash market segment.
4. Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month.

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 forrefund as the money remains in investors account.

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 NSDLon thesame day.....issued in the interest of investors.

KYC is a 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. | (As instructed by SEBI, We hereby declare that we do engage in proprietary trading in all segment across the exchange.)

Effective communication & Speedy redressal of the grievances a. Register on SCORES portal b. Mandatory details for filing complaints on SCORES: i. Name, PAN, Address, Mobile Number, Email ID c. Benefits: i. Effective communication ii. Speedy redressal of the grievances link: https://scores.gov.in/scores/Welcome.html

In case of grievances for any of the services rendered by Findoc Investmart Pvt Ltd write an email to grievance@myfindoc.com

Mandatory updation of certain attributes of KYC of clients - The advisory is also displayed on the Depository website at following link: https://nsdl.co.in/downloadables/pdf/Advisory%20%E2%80%93%20KYC%20Compliance.pdf

1. NSDL:IN-DP-469-2020 2. Findoc Finvest Pvt. LTD. CIN no:U65910CH1995PTC016409 RBI REGISTRATION NO. B-06.00267 3. Findoc Investmart Private Limited CIN no:U74992CH2010PTC035180 SEBI REGISTRATION NO. INZ000164436 4. Findoc Investmart IFSC PVT. LTD CIN no: U65999GJ2017PTC095984 SEBI REGISTRATION NO. INZ000200735 5. INVESTMENT ADVISOR SEBI Registration no. INA100012297

Member I'd | Nse- 14697 | BSE- 6529 | MCX- 55205 | NCDEX- 01152

Documents / Information for Customers

New KYC Format: Customer Documents

Investor Complaints Information

Open a Demat Account