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Investor Charter & Regulatory Documents

All mandatory disclosures, investor rights, grievance mechanisms, and compliance documents — in one place. View online or download as PDF.

SEBI Registered
Stockbroker & RA
CDSL DP
IN-DP-165-2015
AMFI Registered
ARN 29483
PFRDA Registered
NPS POP
Investor Charter SEBI

Investor Charter — Equity & F&O Broking

NSE & BSE · Cash and Derivatives Segment

Effective: 1 April 2025 Ref: SEBI/HO/OIAE/IGRD/CIR/P/2023/156
4 sections · PDF available · SEBI mandated disclosure
Investor Charter CDSL

Investor Charter — Depository Participant

CDSL · Demat Account Services

Effective: 1 April 2025 Ref: SEBI/HO/OIAE/IGRD/CIR/P/2023/156
4 sections · PDF available · SEBI mandated disclosure
Investor Charter SEBI

Investor Charter — Research Analyst

SEBI-Registered · Equity Research Reports

Effective: 1 January 2025 Ref: SEBI/HO/IMD/DF1/CIR/P/2022/0106
4 sections · PDF available · SEBI mandated disclosure
Investor Charter AMFI

Investor Charter — Mutual Fund Distributor

AMFI-Registered · ARN 29483

Effective: 1 April 2025 Ref: SEBI/HO/IMD/IMD-I/DOF5/P/CIR/2021/553
4 sections · PDF available · SEBI mandated disclosure
Grievance Redressal SEBI

Grievance Redressal Mechanism

All Segments · SEBI SCORES & ODR Compliant

Updated: June 2025 Ref: SEBI/HO/OIAE/IGRD/CIR/P/2023/156
4 sections · PDF available · SEBI mandated disclosure
Annual Compliance Annual

Annual Compliance Report — FY 2024–25

Stockbroking & DP · SEBI Mandated Annual Disclosure

Published: 30 April 2025 Ref: SEBI Annual Compliance Certificate
4 sections · PDF available · SEBI mandated disclosure
Risk Disclosures Mandatory

Risk Disclosure Document

All Segments — Mandatory SEBI Risk Warning

Effective: 1 April 2025 Ref: SEBI Risk Disclosure — Mandatory
5 sections · PDF available · SEBI mandated disclosure
Policies Policy

Know Your Client (KYC) Policy

Client Onboarding · SEBI & PMLA Compliant

Updated: January 2025 Ref: SEBI KYC Registration Agency (KRA) Regulations, 2011
3 sections · PDF available · SEBI mandated disclosure
Policies Policy

Anti-Money Laundering (AML) Policy

PMLA 2002 · SEBI AML Guidelines

Updated: January 2025 Ref: Prevention of Money Laundering Act, 2002
3 sections · PDF available · SEBI mandated disclosure
Policies Policy

Privacy Policy & Data Protection

IT Act 2000 · SEBI Cybersecurity Framework

Updated: March 2025 Ref: Information Technology Act, 2000 · SEBI Circular CIR/MRD/DP/13/2015
4 sections · PDF available · SEBI mandated disclosure

Important Disclosure: Investments in securities markets are subject to market risks. Read all related documents carefully before investing. Shriram Financial Services Limited is registered with SEBI as a Stockbroker (Registration Nos. INB231103833, INB011103839), Research Analyst (INH200009624), and CDSL Depository Participant (IN-DP-165-2015). AMFI-registered Mutual Fund Distributor: ARN 29483. PFRDA-registered NPS Point of Presence. CIN: U65110TN1974PLC006603. Registered Office: Shriram House, No. 4, Burkit Road, T. Nagar, Chennai – 600 017.