Transact only through SEBI-recognised stock exchanges

Deal only through SEBI-registered intermediaries

Complete all required formalities for opening an account with the broker (Client registration, Client agreement forms etc)

Ask for and sign the "Know Your Client" Agreement

Read and properly understand the risks associated with investing in securities before undertaking any transactions

Assess the risk-return profile of the investment as well as the liquidity and safety aspects before making your investment decision

Ask all relevant questions and clear your doubts with your broker before transacting

Invest based on sound reasoning and fundamentals of the company after taking into account all publicly available information

Give clear and unambiguous instructions to your broker/sub-broker/ depository participant

Insist on a contract note for each of your transactions and verify all details in contract note, immediately on receipt. If in doubt, crosscheck details of your trade with details as available on the exchange website

Scrutinize minutely both the transaction and the holding statements that you receive from your Depository Participant

Keep copies of all investment documentation

Handle Delivery Instruction Slips (DIS) Book issued by DPs carefully. Insist that the DIS numbers are pre-printed and your account number (Client ID) is pre stamped

In case you are not transacting frequently, make use of the freezing facility provided for your demat account

Pay the required margins in the prescribed time

Deliver the shares/depository slip in case of sale and pay the money in case of purchase within the prescribed time

Participate and vote in general meetings either personally or through proxy

Don’t undertake off-market transactions in securities

Don’t deal with unregistered intermediaries

Don’t fall prey to promises of unrealistic returns

Don’t invest on the basis of hearsays and rumors

Don’t forget to take account of the potential risks that are involved in the investment

Don’t follow the herd or play on momentum

Don’t be misled by hot tips

Don’t try to time the market

Don’t hesitate to approach the proper authorities for redressal of your doubts/grievances

Don’t leave signed blank Delivery Instruction Slips of your demat account lying around

Don’t sign blank Delivery Instruction Slips(DIS) and keep them with the Depository Participant (DP) or with the broker to save efforts when required