Policies of AY Securities and Commodities Limited

Equity SEBI Registration No INZ000177137, Exchange Registration Nos : NSE TM Code - 06637, Clearing No.- M50302|BSE Clearing No: 3179|MSEI TM Code - 1004 ,Clearing No.- 4| MCX TM No: 8091,Clearing No: 8090 | NCDEX TM No:1287, Clearing No: -M51085|ICEX TM | ID-2084 | SEBI Registration for DP : IN-DP-614-2021 , NSDL- DP ID: IN300966, CDSL DP ID: 12020600 | SEBI Research Analysts Registration No :INH100001187 |. BSE Enlistment No: 5075 |. ** SEBI PMS Registration No:INP000002361 CMBPID NCL CM :- IN555502. Registered Address Globe Capital Market Limited 609, Ansal Bhawan, 16, K. G. Marg, Connaught Place, New Delhi-110 001 (India), Phones: 91-11-30412345 (30 Lines) Fax: 91-11-23720883, 91-11-23766739 Through subsidiary AY Securities and Commodities Limited (Formerly known as Globe Commodities Ltd) SEBI Regn. No. - INZ000024939, Exchange Regn. Nos. - MCX CM ID: 8550 TM ID: 10735, NCDEX CM ID: M50011 TM ID: 00012, NMCE ID: CL0111, ICEX ID: 1009, NCDXSPOT-CR-07-10011 ICCL:2107. Globe Capital Market Limited is also registered with AMFI as a Mutual Fund distributor having AMFI Registration Number 77356 dated 28/11/2009 valid till 27/11/2026

Globe Capital (IFSC) Limited . --> SEBI Regn. No. - INZ000097337 , Exchange Regn. Nos. India (INX)-5014, NSE (IFSC)- 1002 and IIBX- 2001, Registered Address Globe Capital (IFSC) Limited- Unit No : 223, Second Floor, Signature Tower, Building :13B , Road- 1C, Zone 1, Gist Sez, Gift City , Gandhinagar-382355.

Globe Derivatives and Securities Limited. --> SEBI Regn. No. - INZ000312637, Exchange Regn. Nos. MCXCCL 9650 and NCL- PGLOB, 90338, Registered Address 609, Ansal Bhawan, 16 K.G. Marg, New Delhi 110001.

We also do Pro-Account trading in Cash, FO and Commodity Segment.
Disclaimer: Investment in securities market are subject to market risks, read all the related documents carefully before investing.
*Please refer to terms and conditions.
***Client has to keep appropriate margin for trading in MTF, applicable rule followed for MTF. For further information refer to terms and conditions
"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. 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 NSDL/CDSL on the same day.

There is no need to issue a cheque. Please write the Bank account number and sign the IPO application form to authorize your bank to make payment in case of allotment. In case of non allotment the funds will remain in your bank account. Issued in the Interest of Investor. Investments in securities market are subject to market risks; read all the related documents carefully before investing.

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.

PRECAUTIONS FOR CLIENTS DEALING IN OPTIONS

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 unauthorised / unregistered investment advisors and influencers.

Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.

#Globe Gurukul – It is a training programme/interactive session offered by Globe Capital to clients, investors, BAs about stock market, financial products offered by globe etc.

In case of any grievances, please write to: investor_trading@globecapital.com, igr@globecapital.com (For Trading), globedp@globecapital.com (For DP), investor_pms@globecapital.com (For PMS), igresearch@globecapital.com (For Research Analyst and investor Advisor), commigr@globecapital.com (For Commodities), mfigr@globecapital.com (For Mutual Fund), gdsligr@globecapital.com (For GDSL), ifscigr@globecapital.com (For IFSC)

Attention Investors:
1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020.
2. Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
3. Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month
4. Third party products are not Exchange traded products, and the broker is just acting as distributor and all disputes with respect to the distribution activity, would not have access to SCORES/ODR, Exchange investor redressal forum or Arbitration mechanism.

Investor advice: clients/investors are advised to abstain them from dealing in any schemes of unauthorised collective investments/portfolio management, indicative/ guaranteed/fixed returns / payments etc

Join Vigilance Awareness Week 2025 (Oct 27 - Nov 2) and take the e-pledge to promote integrity and transparency. Visit (link) to pledge your support.

We provide ASBA (Application Supported by Blocked Amount) facility in secondary market for cash segment.
To avail facility, you may contact with Mr. Vishal Bhatnagar at 011-43666566 or write to us at customercare@globecapital.com.

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