Basic details of the SB and Depository Participants such as registration number, registered address of Head Office and branches if any

Escalation Matrix

Names and contact details of all Key Managerial Personnel including the Compliance Officer

Step by step procedures for opening an account, filing a complaint on designated email id, and finding out the status of the complaint etc.

A ) Detailed write up on the procedure for opening an account along with Flowchart

There are two ways of account opening

• Off-line mode
• On-line mode

• As per the regulations, new accounts cannot be opened if the PAN is not linked with Aadhar. Even if Aadhar is successfully linked with PAN, it must still be updated in the IT records
• NRI and non-individual and joint accounts can only be opened offline. Also If the mobile number is not linked with the Aadhaar, the offline process of opening an account has to be followed.

Steps for Off-line Account Opening

• Collect an account opening form - either when you’ve visited our office or if you’re meeting one of our employees.
• You will need to fill out this form, and attach a proof of identity and a proof of address. These proofs can be submitted using photocopies of appropriate documents. You need to carry original documents for verification.
• Once done, you’ll also be expected to sign right and obligation documents. This document will state your responsibilities as a trader/investor, and that of your brokerage firms. Keep a copy of this document with you for future reference.
• Once we verifies and processes your documents, you’ll be given your account number, similar to how you receive a bank account number. This number is called the Beneficial Owner Identification Number (or BOID) or Unique Client Code (UCC)
• You’ll also receive additional confidential data - such as a Login ID and key for accessing web portals.

Steps for Online-line Account Opening

• Visit the JK Securities website and click on ‘open demat account’.

• Enter your mobile number and proceed.
• You will be asked to specify certain basic personal details, which includes PAN and unique Aadhaar ID.
• You will have to then authenticate your identity through Aadhaar validation.
• Next, you will be required to fill up the online application form.
• Once that’s done, you will be asked to upload documents required for the demat and trading account opening process.

  To open an online account, the following documents are required:

  • Self-attested copy of the PAN with the signature under Applicant signature.
  • A scanned copy of the signature. The signature must be with a black or blue ballpoint or ink pen. Markers or sketch pens are not allowed.
  • Aadhaar card. Ensure a masked Aadhaar is submitted, i.e., black out the first 8 digits of the Aadhaar number. Only the last four digits should be visible. To download a masked Aadhaar online, visit myaadhaar.uidai.gov.in/ and tick the Do you want a masked Aadhaar? option while downloading Aadhaar.
  • A bank proof in the client's name. The bank proof can be one of the following: A personalised cancelled cheque with the name printed on it, bank statement, bank passbook copy with the bank account number, bank logo, seal, MICR, and IFSC code clearly visible.
• An income proof, if a client wants to trade in F&O. The income proof can be one of the following:
  • Bank statement with the bank logo and seal for the last six months
  • The latest salary slip
  • ITR acknowledgement
  • Form 16
  • Certificate of net worth
  • Statement of demat holdings with current holdings
• Upon uploading the documents, you will then have to e-sign the application, which will be done through Aadhaar OTP.
• After e-signing, you will have to initiate in-person verification through your computer’s web camera.
• Upon successful verification by our team, your demat and trading account will get activated and be ready for use. In case of any requirement, same will be intimated and upon fulfillment of requirement account will get activated.
• The account will be opened within 48 working hours, and an email with the user ID will be sent.

B) Detailed write up on procedure for filing a complaint on a designated email id/Toll free number & finding out status of the complaint etc. along with Flowchart and video (optional) if any

• Grievance, if any that may arise shall be resolved in a proper and time bound manner with detailed advice to the client/investor. In case the resolution needs time, an interim response acknowledging the grievance/complaint shall be issued.
• Our Company has created a dedicated e-mail ID igc@jksecurities.com, in Pursuance of SEBI / Exchanges guidelines, for effective and timely redressal of client complaints. The said e-mail Id is monitored by the Compliance Officer.
• The aforesaid Id is communicated to each and every client using various modes like Know Your Client Form, Welcome Letters, Contract Notes, JK’s official website.
• If any complaint or grievance is received on this email id, the same is recorded in the complaint register and referred by compliance department . The Compliance Department then collects the necessary details / information for the Complaints . And after Thorough investigation in the matter and discussion with compliance officer, the necessary instructions are given to the concerned department/branch/ap for resolution of the matter.
• Once the complaint is replied / resolved, the details there of are inscribed in the Master Complaint Register and marks the complaint as Closed and intimation of same is sent to complainant.
• Each and every complaint is recorded and resolved within 15 days from the date of its receipts.

Client directly make compliant through toll free no

• Client may contact on + 91 7780077811 and register compliant .Upon receipt of complaint an acknowledgement mail of same is sent to complainant. Further complaint is forwarded to compliance department after recording in the complaint register .Compliance Team will refer the same and in case of necessary collect data and other details from concerned dept/branch office . After analyzing details reply will be communicated to Client on his/her registered mobile no and Email id and once reply given to client , compliant will be closed and same be noted in the register.

Flow chart of filing Compliant is as below:

Detailed write up on procedure for finding out status of the complaint basis Ticket Number

• When Client has grievance he or she can file compliant online by visiting JK Securities website https://www.jksecurities.com/
• by clicking on website home page on right side of the Page three buttons are there and by clicking on said buttons following screen will appear:

• by clicking on support tab client will redirected to following screen and client needs to fill required details as mentioned below :

• Once client submits the above- mentioned details, on his designated Email id ticket number will be sent.
• Client can view his/her ticket status on the same page of support and below screen will appear and client needs to enter ticket number to find status of his/her grievance;

List Of Authorised Persons (AP)

Authorised Persons (AP) Cancelled by Members on Account of Disciplinary Reasons