Sushil Finance Downloads - Compliance Documents
Downloads
List of Active Authorised persons As per the SEBI circular requirement, list of active Authorised Person is updated on the website.
Text on Contract Note with respect to Fit and Proper status of Stock exchange and Clearing Corporation shareholders Text on Contract Note with respect to Fit and Proper status of Stock exchange and Clearing Corporation shareholders
Precautions for clients dealing in options Precautions for clients dealing in options
General DO and DONT Investors General DO and DONT Investors
Client Bank Account Details Investors are requested to note that Sushil Financial Services Private Limited is permitted to receive money from investor through designated bank accounts only named as Up streaming Client Nodal Bank Account (USCNBA). Sushil Financial Services Private Limited is also required to disclose these USCNB accounts to Stock Exchange. Hence, you are requested to use following USCNB accounts only for the purpose of dealings in your trading account with us. The details of these USCNB accounts are also displayed by Stock Exchanges on their website under “Know/ Locate your Stock Broker.
PMLA Policy PMLA Policy is framed with the objective to have a system in place for meeting the objectives of preventing any money laundering financial transaction
Policy on Client Unpaid Securities Pledgee Account Policy on Client Unpaid Securities Pledgee Account
List of Authorised Persons (AP) Cancelled by Members on Account of Disciplinary Reasons As per the SEBI circular requirement, list of Authorised Persons (AP) Cancelled by Members on Account of Disciplinary Reasons is updated on the website.
Details of Registered office and branches As per the SEBI exchange requirement, details of registered office and branches .
SEBI - Do's and Dont's Awareness about Secondary Markets to Investors
Policy on inactive trading accounts This policy defines the treatment of dormant / inactive accounts of the clients registered with SFSPL
ATTENTION INVESTORS:
• Precautions for clients dealing in options • || • Investor Charter : Annexure A – Stock Broker | Annexure A – Research Analyst (RA) | Annexure A – Investor Charter -DP • || • Advisory for KYC updation • || • Advisory for Investors • || • Investor Awareness regarding the revised guidelines on Margin Collection • || • Link your Aadhar number with us here. • || • IPO Subscription: " UPI Mechanism is Compulsory for Retail Investors. No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account." • || • Prevent Unauthorized Transactions in your Demat Account remains in investor's account." • || • Prevent Unauthorized Transactions in your Demat Account- Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile number for all debit and other important transactions in your demat account directly from CDSL on the same day. “ISSUED IN THE INTEREST OF INVESTORS” "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."
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Registered Office : Sushil Financial Services Private Limited., 12, Homji Street Fort Mumbai-400 001 • Tel. No. +91-22-40936000 • Fax No. +91-22-22665758 • Email: info@sushilfinance.com

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. Receive alerts on your Registered Mobile number for all debit and other important transactions in your demat account directly from CDSL on the same day. 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.

Sushil Financial Services Private Limited - CIN No. U67120MH1991PTC063438- Member : BSE/ NSE. SEBI Registration No. - INZ000165135.. Depository Participant (CDSL) SEBI Registration No.- IN-DP-504-2020. Research Analyst SEBI Registration No.- INH000000867. IPO Distributor. AMFI Registered Mutual Fund Distributor ARN No. 77875 Registered Since : 04-Jan-2010 Valid till : 03-Jan-2027

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