DP AND KYC OPERATION – VACHANA INVESTMENTS

1.⁠ ⁠For Stock Broking Transaction ‘Prevent unauthorized transactions in your account, update your mobile number/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the day. | 2.⁠ ⁠For Depository Transaction Prevent unauthorized transactions in your Demat account, update your mobile number/email IDs with your Depository Participant. Receive alerts on Your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL/NSDL on the same day. | 3.⁠ ⁠KYC is a one-time exercise while dealing in securities market – once KYC is done through a SEBI registered intermediary (Broker, Mutual and DP etc.), you need not undergo the same process again when you approach another intermediary. | 4.⁠ ⁠If you are subscribing to an IPO, there is no need to issue a Cheque. Please write the bank account number or UPI payment 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.

1. For Stock Broking Transaction: Prevent unauthorized transactions in your account, update your mobile number/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the day. | 2. For Depository Transaction: Prevent unauthorized transactions in your Demat account, update your mobile number/email IDs with your Depository Participant. Receive alerts on your registered mobile for all debit and important transactions directly from CDSL/NSDL. | 3. KYC is a one-time exercise in the securities market. Once KYC is done with any SEBI registered intermediary (Broker, Mutual Fund, DP etc.), you need not do it again. | 4. When subscribing to an IPO, no cheque is required. Enter your bank account number or UPI ID in the IPO form and authorize your bank to block funds. If not allotted, your funds remain in your bank account.

DP AND KYC OPERATION

A Depository Participant (DP) and KYC Operations professional manages client onboarding, demat account maintenance, and regulatory compliance (KYC/AML) within financial institutions. Key duties involve document verification, risk assessment, transaction monitoring, and maintaining accurate client data, ensuring adherence to SEBI or other market standards.

Key Responsibilities

KYC & Onboarding: Perform thorough client identification, due diligence (CDD), and verification of documents to prevent fraud.
DP Account Management: Manage opening, closing, and updating of Demat accounts; handle transfers, pledges, and rematerialization requests.
AML Monitoring: Analyze client transactions to detect suspicious patterns or high-risk activity and report to senior management.
Regulatory Compliance: Maintain adherence to AML (Anti-Money Laundering) standards and update records per regulatory requirements.
Client Verification: Screen clients against global sanctions lists, PEP (Politically Exposed Persons) lists, and databases.
Documentation: Maintain meticulous, up-to-date client records for audit purposes.

Qualifications and Skills

Education: Bachelor’s degree in Finance, Commerce, Banking, or a related field.
Knowledge: Understanding of DP processes, KYC regulations, and AML policies.
Analytical Skills: Strong ability to scrutinize documents and transaction history.
Communication: Effective communication skills for interacting with clients and internal stakeholders.
Software Skills: Proficiency in MS Excel and operational tools.

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Vachana Investments Pvt Ltd: Member of NSE & BSE – SEBI Registration no.: INZ000248337 CDSL: Depository services through Vachana Investments Pvt Ltd. – SEBI Registration no.: 120-79100, Registered Address: Vachana Investments Pvt Ltd.., #No. 32 2nd Main Road 1st Floor Vyalikaval Extension Bhashyam Circle SadashivNagar Opp. Bharat Petrol Pump Bangalore – 560003 Karnataka, India. For any complaints pertaining to securities broking please write to support@vachanainvestments.in, for DP related to dp@vachanainvestments.in. Please ensure you carefully read the Risk Disclosure Document as prescribed by SEBI | ICF

Procedure to file a complaint on SEBI SCORES: Register on SCORES portal. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, E-mail ID. Benefits: Effective Communication, Speedy redressal of the grievances

Investments in securities market are subject to market risks; read all the related documents carefully before investing.

Attention investors: 1.⁠ ⁠For Stock Broking Transaction ‘Prevent unauthorized transactions in your account, update your mobile number/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the day.
2.⁠ ⁠For Depository Transaction Prevent unauthorized transactions in your Demat account, update your mobile number/email IDs with your Depository Participant. Receive alerts on Your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL/NSDL on the same day.
3.⁠ ⁠KYC is a one-time exercise while dealing in securities market – once KYC is done through a SEBI registered intermediary (Broker, Mutual and DP etc.), you need not undergo the same process again when you approach another intermediary.
4.⁠ ⁠If you are subscribing to an IPO, there is no need to issue a Cheque. Please write the bank account number or UPI payment 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.

“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. Issued in the interest of investors. 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.” Dear Investor, if you are subscribing to an IPO, 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. As a business we don’t give stock tips, and have not authorized anyone to trade on behalf of others. If you find anyone claiming to be part of Vachana and offering such services, please write to us at compliance@vachanainvestments.in

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