Nomura Financial Advisory & Securities (India) Private Limited (NFASPL) was incorporated on 23 March 2007. NFASPL is registered with The Securities and Exchange Board of India ("SEBI") as a Stock Broker, Category I Merchant Banker and Research Analyst and is engaged in the business of Stock Broking, Merchant Banking and Research.

NFASPL as a stock broker holds membership on the following Exchanges:

• National Stock Exchange of India Limited ("NSE") as a trading member on the Capital Market segment and as a trading and clearing member on the Futures and Options segment and Currency Derivatives segment.
• Bombay Stock Exchange Limited ("BSE") as a trading member on the Capital Market segment and Currency Derivatives segment.

Client Account Opening documents

Attention Investors

Prevent Unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day .......... Issued in the interest of investors
Beware of unregistered Investment advisors, offering assured returns and seeking trading credentials.

Revised Guidelines on Margin Collection

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. Investors may please refer to the BSE's Frequently Asked Questions (FAQs) issued vide notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020, NSE's 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.
5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.......... Issued in the interest of investors

Details of Client Bank Accounts

Pursuant to BSE Ltd. notice no. 20230127-42 and National Stock Exchange of India Limited circular ref. no. NSE/INSP/55402 dated January 27, 2023 & as notified from time to time (BSE: 20230812-1, NSE - NSE/INSP/57959) , the details of Upstreaming Client Nodal Bank Account (USCNB) for Stock Broking business are as stated under.

Investors are requested to note that Stock Broker (Nomura Financial Advisory and Securities (India) Private Limited) is permitted to receive money from investor through designated bank accounts only named as Upstreaming Client Nodal Bank Account (USCNBA). Stock Broker Nomura Financial Advisory and Securities (India) Private Limited is also required to disclose these USCNB accounts to Stock Exchange. Hence, you are requested to use following USCNB accounts only for the purpose of dealings in your trading account with us. The details of these USCNB accounts are also displayed by Stock Exchanges on their website under "Know/ Locate your Stock Broker" (for National Stock Exchange of India Limited) and "Member Directory" for BSE Ltd.

Advisory for investors - safeguarding clients' assets

1. 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.
2. Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.
3. Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following link:

Claim against Defaulter

About Defaulter's Committee - NSE India

4. Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of 'margin pledge', created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can take securities belonging to clients only for settlement of securities sold by the client.
5. Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly.
6. Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.
7. Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy.
8. 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."

Investor Charter for Stock Brokers (PDF 2,950KB)

Complaint Data pertaining to Stock Broking - month ending March 2024 (PDF 5,875KB)

9. Advisory – KYC Compliance (PDF 273KB)

10. Updation of mandatory KYC fields

We refer to notice/ circulars from Indian Stock Exchanges (NSE & BSE) regarding updation of critical details with respect to client Demat account. To ensure smooth settlements, trading members are required to ensure that the Demat accounts mapped with trading accounts of the client are also compliant with the requirements stipulated.

In view of above, we request clients to seek update from respective Indian Custodian on the status of security (Demat) account and whether the security account is compliant with the requirements as prescribed by the Indian Depository. In event the Indian custodian does not have the requisite information or they have not updated the details by the deadline then such security account will be placed under suspension from 01st April 2022 onwards. To ensure smooth settlement of trade, we request clients to ensure that the securities account with Indian Custodian is complying with the said requirements.

In the current times when we are more digitally connected than ever before, it is imperative that we take cyber hygiene practices seriously. Below are some key areas of cyber-hygiene that one should be aware of.

Protect yourself against phishing/smshing:

Phishing is still the most preferred tool of cyber criminals to break into systems. They send emails containing malicious links or attachment hoping you click on them.

• Verify sender address - Don't just look at the display name, verify the email address and domain before clicking. Scammers are extremely crafty with look-alike emails and domains.
• Links or attachments - Be extremely cautious of emails containing links or attachments. Clicking on these can allow hackers access to your systems.

Smshing (SMS phishing) is a fraud tactic that uses text messages to lure unsuspecting victims into clicking fraudulent links and downloading malicious content on their mobile phones. This can also be used to perpetrate fraudulent activities (e.g. frauds to update KYC/Aadhar details)

Passwords:

Strong passwords are your first line of defence again scamsters. Ensure your passwords are long, complex and unique for each of your critical applications. Remember, being cyber aware helps you to be safe and secure online.

Watch your digital footprint:

Be mindful of what you share (social media, forums, etc.) and the information available about you online.

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