Investor Corner & Disclosures
Mandatory disclosures, registration details, grievance redressal systems, and download links as required under SEBI, NSE, and CDSL rules.
1. Basic Details of Stock Broker (SB) & Depository Participant (DP)
Corporate Name
Exclusive Securities Limited (ESL)
CIN (Corporate Identification Number)
U65921MP1994PLC008402
Exchange Membership Codes
NSE MEMBER (CODE - 07775)
BSE MEMBER (CODE - 6369)
SEBI Registration Number (Stock Broker)
INZ000177234
SEBI Registration Number (Depository Participant)
IN-DP-220-2016
CDSL Depository Participant ID
CDSL ID - 43300
IRDA License
CODE - 219
Registered Address (Head Office)
106 C Block 1st Floor Silver Mall, 8 A RNT Marg, Indore – 452001 (M.P.), India
Branch Network Details
We operate a robust network of branch offices and franchisee locations across India. For details of specific branches in your region, please reach out to our corporate compliance team at ho@exclusivegroup.co.in.
2. Key Managerial Personnel (KMPs) & Compliance Officers
| Designation | Name | Contact Phone | Email ID |
|---|---|---|---|
| Compliance Officer (Stock Broker) | Mr. Yogesh Gupta | +91 731 4243139 / 9302102321 | esl@exclusivegrp.co.in |
| Compliance Officer (DP) | Mr. Yogesh Gupta | +91 731 4243238 / 9302102321 | esldp@exclusivegrp.co.in |
| Whole Time Director | Mr. Yogesh Gupta | +91 731 4243211 | yogesh_exclusive@yahoo.com |
| Director | Mr. Sanjay Samaiya | +91 731 4243116 | samaiya16@yahoo.co.in |
| Managing Director / CEO | Mr. Rajnedra Ajmera | +91 731 4243116 | rajmeran@gmail.com |
3. Step-by-Step Account Opening Procedure
Document Compilation
Keep your PAN Card, Address Proof (Aadhaar, Passport, or Voter ID), Bank Account Proof (Cancelled cheque or latest 6-month statement), and Income Proof (required for derivative segments) ready.
Filling the Account Opening Form (AOF)
Download the Simplified Account Opening Form or SARAL AOF from our downloads section. Fill in all details. Alternatively, visit our nearest branch office for physical assistance.
In-Person Verification (IPV)
As mandated by SEBI, our compliance officer or authorized representative will carry out In-Person Verification (IPV) physically or through video verification link.
Verification & Activation
Our KYC desk verifies the submitted records against the KRA registry. On successful verification, your trading client code and demat account number are generated.
Welcome Kit & Segment Access
Demat account details, Login credentials, Rights and Obligations booklet, and welcome kit are delivered to your registered email. You are now set to trade.
4. Details of Authorized Persons (APs)
Currently, there are no active independent Authorized Persons registered with ESL under this web domain framework. All trades, client onboarding, and support functions are processed directly by Exclusive Securities Limited Head Office and branch offices.
5. Investor Grievance Redressal & Escalation Matrix
Grievance Escalation Matrix
| Escalation Level | Designation | Contact Person Name | Contact Phone | Email ID |
|---|---|---|---|---|
| Level 1 | Customer Care | Support Team | 07314243200 / 07314243236 / 07314243205 | ho@exclusivegroup.co.in |
| Level 2 | Compliance Officer (Stock Broker) | Mr Yogesh Gupta | 07314243139 | grievances@exclusivegroup.co.in |
| Level 2 | Compliance Officer (DP) | Mr Yogesh Gupta | 07314243238 | esldp_grievances@exclusivegroup.co.in |
| Level 3 | Whole Time Director | Mr Yogesh Gupta | 07314243211 | yogesh_exclusive@yahoo.com |
| Level 4 | Director | Mr Sanjay Samaiya | 07314243116 | samaiya16@yahoo.co.in |
- SEBI SCORES portal: https://scores.sebi.gov.in
- CDSL Grievance Portal: https://www.cdslindia.com/footer/grievances.aspx
- NSE NICEPLUS Portal: https://investorhelpline.nseindia.com/NICEPLUS/
- BSE Complaints Portal: https://bsecrs.bseindia.com/ecomplaint/frminvestorhome.aspx
- SMART ODR Portal: https://smartodr.in/
- Registration on SCORES portal: Register directly on the SEBI SCORES portal to create your profile and file grievances online.
- Mandatory details for filing complaints: Name, PAN, Address, Mobile Number, and Email ID.
- Benefits: Ensures effective communication and speedy redressal of your grievances.
6. Mandatory Regulatory Downloads & Investor Charters
Simplified Account Opening Form (SARAL AOF)
Simplified account opening process for retail clients.
Rights & Obligations Document
Rights and obligations of Beneficial Owner and Depository Participant.
Investor Charter - Depository Participant
Required disclosures, rights, timelines and grievance matrix as per SEBI charter.
Investor Charter - Stock Broker
Mandatory informational charter containing SB registration rules and customer rights.
Data on Complaints Against Depository Participant (DP)
Monthly, monthly trend, and annual complaints redressal history for DP services.
Data on Complaints Against Stock Broker (SB)
Monthly, monthly trend, and annual complaints redressal history for Stock Broker services.
CDSL eVoting Portal
Cast your vote electronically on company resolutions and corporate actions securely.
CDSL – MyEasi Mobile App
The CDSL MyEasi application provides investors with the following convenient and value-added features:
- Consolidated view of securities of clients across Depository, eliminating the need for multiple logins;
- Transaction and holding statements at one place, improving portfolio management for investors;
- Monitoring of open positions and margin details across Stock Exchanges and Clearing Corporations;
- Option to exercise E-voting on company resolutions; and
- Access to recommendations of proxy advisers on resolutions.
In case of any clarification, you may contact the respective Depository:
7. Attention Investors - Important Advisory
KYC Portability: 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.
Stock Broking Transactions: Prevent unauthorized transactions in your account - update your mobile numbers/email IDs with your stockbrokers. Receive information of your transactions directly from the Exchange on your mobile/email at the end of the day.
Depository Transactions: 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/NSDL on the same day.
IPO Subscriptions: If you are subscribing to an IPO, there is no need to issue cheques. 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.
Unsolicited Tips & Unfounded Rumours: Investors should be cautious on unsolicited emails and SMS advising to buy, sell or hold securities and trade only on the basis of informed decision. Investors are advised to invest after conducting appropriate analysis of respective companies and not to blindly follow unfounded rumours, tips etc. Further, you are also requested to share your knowledge or evidence of systemic wrongdoing, potential frauds or unethical behaviour through the anonymous portal facility provided on BSE & NSE website.
Regulatory Registrations: Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
Upfront Margin Requirements: Pay 20% or "var + elm" whichever is higher as upfront margin of the transaction value to trade in the cash market segment.
Circular Guidelines: Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.
Aadhaar Update Announcement: Attention all Individual BOs having Demat A/c with us, please update your Aadhaar immediately as per the announcement in Union Budget 2017-18.
Bird’s Eye View: Bird’s eye view of investors’ holdings in securities markets in its investor mobile application provided by NSDL / CDSL.
Nominee Details: Attention all Individual BOs having Demat A/c with us, please update your nominee detail in your dp account.
Risk disclosures on Derivatives:
- 9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses.
- On an average, loss makers registered net trading loss close to ₹ 50,000.
- Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.
- Those making net trading profits, incurred between 15% to 50% of such profits as transaction cost.
Advisory - Investors:
- Ensure that pay-out of funds/securities is received in your account within 1 working day from the date of pay-out.
- Register for online applications viz Speed-e and Easiest provided by Depositories for online delivery of securities as an alternative to DDPI/POA.
- Ensure that you receive Contract Notes within 24 hours of your trades and Statement of Account at least once in a quarter from your Stock Broker.
- If you have opted for running account, please ensure that the stock broker settles your account regularly and in any case not later than 90 days (or 30 days if you have opted for 30 days settlement).
- Do not keep funds idle with the Stock Broker.
- Regularly login into your account to verify balances and verify the demat statement received from depositories for correctness.
- Check messages sent by Exchanges on a monthly basis regarding funds and securities balances reported by the trading member and immediately raise a concern if you notice a discrepancy.
- Always keep your contact details viz Mobile number / Email ID updated with the stock broker. You may take up the matter with Stock Broker / Exchange if you are not receiving the messages from Exchange / Depositories regularly.
- If you observe any discrepancies in your account or settlements, immediately take up the same with your stock broker and if the Stock Broker does not respond, with the Exchange/Depositories.
- Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
- Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.
- As per advisory issued by exchanges, while dealing in options, clients/investors shall avoid the following:
- Sharing of trading credentials – login id & passwords including OTP’s.
- Trading in leveraged products like options without proper understanding, which could lead to losses.
- Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks.
- Dealing in unsolicited tips through WhatsApp, Telegram, YouTube, Facebook, SMS, calls, etc.
- Trading in “Options” based on recommendations from unauthorized / unregistered investment advisors and influencers.
Awareness regarding guidelines of margin collection:
- Stock brokers can accept securities as margins from clients only by way of pledge in the depository system w.e.f September 01, 2020.
- Update your e-mail and phone number with your stock broker / depository participant and receive OTP directly from depository on your e-mail and/or mobile number to create pledge.
- Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month.
Issued in the interest of investors