Company Information
Upstox Securities Pvt. Ltd. operates under SEBI Registration No. INZ000315837 with NSE TM Code: 13942 and BSE TM Code: 6155. It holds CDSL Registration No. IN-DP-761-2024, with Corporate Identification Number (CIN) U65100DL2021PTC376860.
The Compliance Officer, Mr. Kapil Jaikalyani, is reachable via telephone at (022) 24229920 or through email at [email protected]. The registered office is located at 809, New Delhi House, Barakhamba Road, Connaught Place, New Delhi – 110001.
RKSV Commodities India Pvt. Ltd. is similarly registered under SEBI as INZ000015837, with MCX TM Code: 46510 and CIN: U74900DL2009PTC189166.
Correspondence can be directed to Mr. Amit Lalan, who can also be reached at (022) 24229920 or emailed at [email protected].
The registered office is situated at 807, New Delhi House, Barakhamba Road, Connaught Place, New Delhi – 110001, with additional correspondence found at 30th Floor, Sunshine Tower, Senapati Bapat Marg, Dadar (West), Mumbai – 400013.
Complaint Filing Procedure
To lodge a complaint via the SEBI SCORES portal, users must first register. Essential information required includes: name, PAN, address, mobile number, and email ID.
Notable advantages include prompt communication and efficient resolution of complaints. Investors are urged to diligently review the Risk Disclosure Document as mandated by SEBI, along with our Terms of Use and Privacy Policy.
Upstox Securities Private Limited is a wholly owned subsidiary of RKSV Securities India Private Limited, while RKSV Commodities India Private Limited is an associate of the aforementioned corporation.
Disclaimer
Investing in the securities market carries inherent risks; thus, thorough examination of all related documentation is advised prior to investment. It is noted that brokerage fees will not surpass SEBI’s established limits.
Risk Disclosures on Derivatives
- Approximately 90% of individual traders within the equity Futures and Options segment experienced net losses.
- Averaged losses for unsuccessful traders amounted to nearly ₹50,000.
- Moreover, those with net losses incurred an additional 28% of their trading losses in transaction costs.
- Profit-making traders faced transaction costs varying between 15% and 50% of their earnings.
Mutual Funds Advisory
Top-rated mutual funds do not imply any form of investment advice. Research data is curated by Morningstar.
Investors should scrutinize the offer documents with diligence before making any investment, as Upstox disclaims liability for outcomes arising from such actions.
Note that these products are not traded on exchanges, and the member serves solely as a distributor. Any disputes regarding distribution activities will not be eligible for resolution through the Exchange’s investor redressal forum or arbitration mechanism.
Investors’ Caution
In accordance with NSE and BSE circulars issued on July 6, 2022, and MCX guidance from July 11, 2022, investors are cautioned against engaging with unauthorized collective investment schemes or portfolio management strategies promising guaranteed returns. Additionally, they are advised to eschew the following practices:
- Sharing trading credentials, including login IDs, passwords, and OTPs.
- Communicating trading strategies or position details.
- Trading in leveraged products or derivatives without a comprehensive understanding, potentially leading to significant losses.
- Engaging in unsolicited trading advice via platforms such as WhatsApp, Telegram, Instagram, YouTube, Facebook, SMS, or calls.
- Following recommendations from unregistered investment advisors.
Investors should review the Advisory Guidelines for Investors per the Exchange’s communication dated August 27, 2021, on investor awareness and preservation of client assets.
Furthermore, it is essential to consult the advisory issued by the Exchange regarding mandatory KYC updates by March 31, 2022: KYC Updation.
Demat Account Security
To prevent unauthorized transactions in your Demat account, it is imperative to update your mobile number with your depository participant. This enables you to receive real-time alerts from CDSL regarding debits and significant transactions.
Likewise, stock brokers should have your current mobile number and email on file to relay transaction information end-of-day from the Exchange.
It is emphasized that KYC is a one-time procedure when engaging with securities markets; once completed through any SEBI-registered intermediary, you are not required to redo it for other intermediaries.
In terms of IPO subscriptions, investors are advised against issuing checks. Simply write your bank account number and provide your signature on the application form to authorize payment upon allotment, ensuring that funds remain secured in your account.
Stock brokers must accept securities as margin through pledge in the depository system from September 1, 2020.
Update your email and mobile with your stockbroker to receive an OTP for pledge creation as necessary. Regularly review your Consolidated Account Statement (CAS) issued monthly by NSDL/CDSL to track securities, mutual funds, or bonds held.
Online Dispute Resolution Portal
SEBI has launched an Online Dispute Resolution (ODR) Portal to facilitate dispute resolution within the Indian Securities Market.

This portal optimizes the existing dispute resolution mechanisms, offering both online conciliation and arbitration, ultimately benefiting investors and listed companies.
Source link: Upstox.com.






