Compliance Policies

RISK MANAGEMENT SYSTEM POLICY
DORMANT A/C POLICY
CLIENT CODE MODIFICATION POLICY
PREFUNDED INSTRUMENT POLICY
PMLA POLICY
INTERNAL CONTROL POLICY
UNAUTHENTIC NEWS CIRCULATION POLICY
SURVEILLANCE POLICY
CONFLICT OF INTEREST POLICY
SORM POLICY
LIMIT SETTING POLICY
INVESTORS GRIEVANCES REDRESSAL POLICY
POLICY ON FACSIMILE (SCANNED) SIGNATURE ON PHYSICAL CONTRACT NOTES
CYBER SECURITY POLICY

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Keynote Capitals Limited

Registered Address: The Ruby, 9th Floor, Senapati Bapat Marg, Dadar (W), Mumbai – 400 028

022 6826 6000

022 6826 6088

contact@keynotecapitals.net

CIN: U67120MH1995PLC088172 | SEBI Registration No : INZ000241530 | Depository Participant (CDSL) SEBI Registration No: IN-DP-238-2016

BSE (CM/FO/CD) – 0120 | NSE (CM/FO/CD) – 09305 | MSEI (CM/FO/CD) – 43100 | DP ID: 12024300 | Keynote Capitals Ltd – Mutual Fund ARN: 4844

Compliance Officer: Vijay H Shah, vijay.shah@keynoteindia.net ; +91-22-68266049 | For any Complaints email at: kcl@keynoteindia.net

Mutual Funds Disclaimer: Mutual Fund investment are subject to market risk. Read all the scheme related documents carefully before investing.

Disclaimer: Investment in securities market are subject to market risks, read all the related documents carefully before investing. Please refer the Risk Disclosure Document issued by SEBI and go through the Rights and Obligations and Do’s and Dont’s issued by Stock Exchanges and Depositories before trading on the Stock Exchanges. Before investing in any asset class consider your investment objectives, level of experience and risk appetite carefully.

No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorize your bank to make payment in case of allotment. No worries for refund as the money remains in investors account.

"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."

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 issued in the interest of investors."