Regulatory Compliance
Annexure B – Formats of Mandatory display
i - Basic details of the SB such as registration number, registered address of Head Office and branches if any –
| Stock Broker Name | Registration Number | Registered Address | Branches (if any) | Contact Number | email ID |
|---|---|---|---|---|---|
| KRISHVI SECURITES PVT. LTD. | INZ000228133 | 407, Maker Chambers V, 221, Nariman Point, Mumbai 400 021 | NONE | 22020778-79
9619735444 |
krishvisecurities@yahoo.com |
Escalation Matrix:
| Details of | Contact Person | Address | Contact No. | Email Id |
|---|---|---|---|---|
| Customer care | Suresh Dhanavde | 407, Maker Chambers V, 221, Nariman Point, Mumbai 400 021 | 9029431122 | krishvisecurities@yahoo.com |
| Head of Customer care | Gitesh Tambe | 407, Maker Chambers V, 221, Nariman Point, Mumbai 400 021 | 9920215734 | krishvisecurities@yahoo.com |
| Compliance Officer | Nemish Kotadia | 407, Maker Chambers V, 221, Nariman Point, Mumbai 400 021 | 9619735444 | krishvisecurities@yahoo.com |
| CEO | ANITA DALAL | 407, Maker Chambers V, 221, Nariman Point, Mumbai 400 021 | 9821022212 | krishvisecurities@yahoo.com |
ii. Names and contact details of all Key Managerial Personnel including the Compliance Officer-
| Sr. No. | Name of the Individual | Designation | Mobile Number | Email Id |
|---|---|---|---|---|
| 1 | ANITA DALAL | The Chief Executive Officer or the Managing Director or the Manager | 9821022212 | anitaddalal@yahoo.com |
| 2 | The Company Secretary | |||
| 3 | Nemish Kotadia | The Whole-Time Director | 9619735444 | nemishkotadia@gmail.com |
| 4 | The Chief Financial Officer | |||
| 5 | Such other officer as may be prescribed. | |||
| 6 | Nemish Kotadia | The Compliance Officer | 9619735444 | nemishkotadia@yahoo.com |
| 7 | KRISHNA DALAL | Directors, Proprietor, Partners, or any other competent personnel as identified by the | 9920122212 | krishnaddalal@gmail.com |
iii. Step by step procedures for opening an account, filing a complaint on designated email id, and finding out the status of the complaint etc.
- Detailed write up on the procedure for opening an account along with Flowchart and video if any (optional).
- Detailed write up on procedure for filing a complaint on designated email id/ Toll-free number along with Flowchart and video if any (optional). Provisions are to be made for sharing Ticket Number once the complaint is lodged.
- Detailed write up on procedure for finding out status of the complaint basis Ticket Number etc. along with Flowchart and video if any (optional).
iv. Details of Authorized Persons
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|---|---|---|---|---|---|---|---|---|---|---|
| Sr. No. | Authorised Person's Name | Authorised Person Code (Exchange wise) | Constitution | Status | Registered Address | Terminal Details (Exchange Wise) | ||||
| (Approved / Cancelled) | Add | City | State | Pin code | Terminal Allotted (Y/N) | No. of Terminals | ||||
| 1 | UFICS INVESTMENTS ADVISORY LLP | AP01092701142508 | APPROVED | SURAT | GUJARAT | Y | 2 | |||
| 2 | ||||||||||
| 3 | ||||||||||
| 4 | ||||||||||
| List of Authorised Persons (AP) Cancelled by Members on Account of Disciplinary Reasons | ||||
|---|---|---|---|---|
| Sr. No. | Authorised Person's Name | Status | Authorised Person Cancellation Details | |
| Date | Reason | |||
| 1 | NONE | |||