Legal & Compliance

Investor Charter

Know your rights, responsibilities, and protections as a market participant.

Vision

To provide investors with transparent, efficient, and trustworthy financial services that help them make informed investment decisions and achieve their financial goals.

Mission

To provide investor-centric trading and investment services with integrity and excellence
To promote investor education and awareness about securities markets
To maintain the highest standards of ethics and compliance
To leverage technology to enhance the investing experience
To build long-term relationships based on trust and mutual growth

A. Rights of Investors

Category	Rights
Right to Proper Execution of Orders	Right to receive best execution for all orders placed Right to trade at prices in accordance with exchange rules Right to receive execution confirmation in a timely manner
Right to Fair and Transparent Services	Right to receive a copy of all executed trades in the format prescribed by the exchanges Right to transparency in fees, brokerage, and other charges Right to receive contract notes, margin statements, and ledger extracts Right to clear information about risk profiles, investment objectives, and charges applicable
Right to Account Security and Information	Right to receive trade confirmations through SMS and email Right to update mobile number and email ID for receiving confirmations/alerts Right to information about unauthorized transactions Right to protection of personal information and privacy
Right to Investor Services	Right to receive serviceable funds and securities Right to receive information about investor grievance redressal mechanism Right to timely redressal of grievances Right to prompt transfer of securities to client account Right to receive guidance and education about market investments
Right to Safe Handling of Funds and Securities	Right to separate bank and demat accounts maintained by the broker for client funds and securities Right to receive unutilized funds and securities within one working day of request Right to not have your funds utilized for any other person or for proprietary trading or for meeting obligations of any other client

B. Stock Broker Activities with Timelines

Sr. No.	Service	Timeline
1	KYC Registration	7 working days from receipt of complete documents
2	Opening of Trading Account	1 working day from completion of KYC
3	Modification of Client Details	10 working days from receipt of request
4	Uploading of Unique Client Code (UCC) to Exchanges	Before placing order on behalf of the client
5	Completion of Physical Contract Note Dispatch	24 hours of execution of trades
6	Completion of Electronic Contract Note (ECN) Dispatch	24 hours of execution of trades
7	Issuance of Statement of Account	5 working days from the end of the month/requested period
8	Issuance of Retention Statement of Funds/Securities	5 working days from request
9	Settlement of Funds	30 or 90 days (as per preference of client) from receipt of running account settlement form
10	Statement of Accounts for Funds and Securities	Quarterly within 15 days from end of quarter or monthly within 5 working days from end of month (as per client preference)
11	Redressal of Investor Grievances	30 days from receipt of complaint

C. Grievance Redressal Mechanism

1. Filing Complaint with Sapphire Broking

File your complaint against Sapphire Broking in writing through email or physical letter or contact us through telephone on number mentioned in customer support on our website
Submit your complaint to the designated grievance email ID: grievance@sapphirebroking.com
Alternatively, send your complaint to the head office address
Ensure you provide all relevant details including your client ID, the nature of your complaint, and supporting documents

2. Complaint Escalation within Sapphire Broking

If your complaint is not resolved within a reasonable time or the resolution provided is not satisfactory, you can escalate to:
The Compliance Officer at compliance@sapphirebroking.com
The Principal Officer at principal@sapphirebroking.com

3. Escalation to Stock Exchanges

If the grievance is not redressed within 30 days or if you are not satisfied with the resolution provided by Sapphire Broking, you may lodge your grievance with the relevant stock exchange(s)
For NSE: ignse@nse.co.in
For BSE: is@bseindia.com
For MCX: grievance@mcxindia.com

4. Escalation to SEBI

If your complaint is not resolved satisfactorily by the stock exchange, you can file a complaint with SEBI on the SCORES portal (https://scores.gov.in)
You can also send your complaint to Office of Investor Assistance and Education, SEBI

D. Expectations from Investors

Category	Expectations
Documentation	Complete all KYC, account opening, and related requirements with accurate information Regularly update personal, financial, and other relevant information Read and understand all documents before signing Provide nominee details for your trading and demat account
Trading Practices	Trade only through authorized trading platforms and interfaces Place orders within your financial capabilities and risk tolerance Do not provide trading authority to anyone without proper documentation Be cautious while acting on tips, rumors, or unsolicited investment advice Keep record of all trades, contract notes, and related documentation
Financial Discipline	Ensure adequate funds and securities before placing orders Pay required margins, settlement amounts, and other dues on time Review contract notes, statements of funds and securities regularly Cross-check trade details on exchange websites when required
Security Practices	Do not share login credentials, trading password, or OTPs with anyone Regularly change passwords and PINs Update mobile numbers and email IDs linked to your trading and demat accounts Report any suspected unauthorized access immediately Verify the authenticity of all digital communications
Grievance Reporting	Report grievances promptly through proper channels Provide all relevant information and documents while reporting a grievance Follow up on your complaint until resolution Keep track of complaint reference numbers

E. Services Provided by Sapphire Broking

Trading Services

Segment	Services
Equity Cash Segment	Trading facilities for equities listed on NSE, BSE Delivery-based trading Intraday trading Pre-open and post-close session trading Block deals Systematic Equity Plan (SEP)
Equity Derivatives Segment	Futures and Options trading on NSE, BSE Index derivatives Stock derivatives Weekly and monthly options Strategy-based option tools
Currency Derivatives	Currency futures and options Cross-currency futures and options
Commodity Derivatives	Commodity futures and options trading on MCX Bullion Base metals Energy Agri commodities

Research and Advisory Services

Segment	Services
Research Reports	Technical analysis and research reports Fundamental analysis and company research Market news and updates
Investment Insights	Investment strategies and ideas Sector analysis Derivatives strategies IPO analysis

Technology-Based Services

Segment	Services
Trading Platforms	Sapphire Terminal trading platform Mobile trading applications Web-based trading platform
Trading Tools	Advanced charting tools Real-time market data Algorithmic trading facilities API-based trading solutions Basket orders and multi-leg orders

Value-Added Services

Segment	Services
Investment Products	Margin trading facility IPO applications Mutual fund investments Bonds and fixed income securities Exchange-Traded Funds (ETFs)
Investment Planning	Systematic Investment Plans (SIPs) Portfolio analytics tools Tax P&L reports

F. Investor Complaints Data (Stock Broker)

Data for the last quarter (specific quarter and year to be inserted)

Sr. No.	Received from	Average Resolution time (in days)
1	Directly from Investors	N/A
2	SEBI (SCORES)	N/A
3	Stock Exchanges	N/A
4	Other Sources	N/A
Grand Total		N/A

Trend of monthly disposal of complaints

Sr. No.	Month	Carried forward from previous month	Received	Resolved	Pending
1	Month 1	0	0	0	0
2	Month 2	0	0	0	0
3	Month 3	0	0	0	0
Grand Total		0	0	0	0

Trend of annual disposal of complaints

Sr. No.	Year	Carried forward from previous year	Received during the year	Resolved during the year	Pending at the end of the year
1	2022	0	0	0	0
2	2023	0	0	0	0
3	2024	0	0	0	0
Grand Total		0	0	0	0

Note: The above data will be updated quarterly

Last updated: Last updated: July 15, 2025

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