Barclays Securities (India) Pvt Ltd
Barclays Securities India Pvt Ltd. offers various securities market related services in India. The services offered cater to the needs of both institutional and non institutional client segments.
|Number of Complaints (Pertaining to Investment Advisory Services)|
|Month of Reporting||Aug-20||Sep-20||Oct-20||Nov-20||Dec-20||Jan-21||Feb-21||Mar-21||Apr-21||May-21||Jun-21||Jul-21||Aug-21||Sep-21||Oct-21||Nov-21|
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|Resolved during the Month||0||0||0||0||0||0||0||0||0||0||1||0||0||0||0||0|
|Pending at the end of the month||0||0||0||0||0||0||0||0||0||1||0||0||0||0||0||0|
|Reason of Pendency||N/A||N/A||N/A||N/A||N/A||N/A||N/A||N/A||N/A||Complaint is under investigation||N/A||N/A||N/A||N/A||N/A||N/A|
INVESTMENT ADVISORY DETAILS
Investment Adviser : Barclays Securities (India) Private Limited
Type of Registration - Non-Individual
Registration number - INA000000391
Validity of registration - Perpetual
Address – 208, Ceejay House, Shivsagar Estate, Dr. A. Beasant Road, Worli, Mumbai – 400 018, India
Principal Officer - Narayan Shroff, email id : firstname.lastname@example.org; Contact no. : +91 22 61754000
Corresponding SEBI office address - SEBI Bhavan, Plot No.C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (East), Mumbai - 400051, Maharashtra, India.
Wealth & Investment Management
Barclays Wealth in India offers comprehensive and personalized wealth management services to Ultra High Net worth (UHNW) and High Net Worth (HNW) families and individuals with an endeavor to move, lend and protect their wealth.
Portfolio Management Services
Portfolio Management Service (PMS) is an active portfolio management offering in which the portfolio is constructed as per the investment objectives and constraints specified by the client. The client has access to the services of a professional investment manager.
Barclays Securities India Pvt Ltd, offers robust platform to its clients to trade in Equities cash segment, ETFs, Equity Derivatives, Currency Derivatives through NSE & BSE and other investment options like Offer for Sale, IPOs etc. Investors are provided with an execution platform along with unbiased research across sectors, economy and scrips.
- Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 01, 2020.
- Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.
- Pay 20% upfront margin of the transaction value to trade in cash market segment.
- Please refer to the Frequently Asked Questions (FAQs) issued by NSE vide their circular ref. no. NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and issued by BSE vide their circular ref. no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020 and other guidelines issued by the Exchanges from time to time in this regard.
- Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.
- Beware of fixed/guaranteed/regular returns/ capital protection schemes. Brokers or their authorized persons or any of their associates are not authorized to offer fixed/guaranteed/regular returns/ capital protection on your investment or authorized to enter into any loan agreement with you to pay interest on the funds offered by you. Please note that in case of default of a member claim for funds or securities given to the broker under any arrangement/ agreement of indicative return will not be accepted by the relevant Committee of the Exchange as per the approved norms.
- Do not keep funds idle with the Stock Broker. Please note that your stock broker has to return the credit balance lying with them, within three working days in case you have not done any transaction within last 30 calendar days. Please note that in case of default of a Member, claim for funds and securities, without any transaction on the exchange will not be accepted by the relevant Committee of the Exchange as per the approved norms.
- Check the frequency of accounts settlement opted for. If you have opted for running account, please ensure that your broker settles your account and, in any case, not later than once in 90 days (or 30 days if you have opted for 30 days settlement). In case of declaration of trading member as defaulter, the claims of clients against such defaulter member would be subject to norms for eligibility of claims for compensation from IPF to the clients of the defaulter member. These norms are available on Exchange website at following links: https://www.nseindia.com/invest/about-defaulter-section or https://www.bseindia.com/static/investors/Claim_against_Defaulter.aspx
- Brokers are not permitted to accept transfer of securities as margin. Securities offered as margin/ collateral MUST remain in the account of the client and can be pledged to the broker only by way of ‘margin pledge’, created in the Depository system. Clients are not permitted to place any securities with the broker or associate of the broker or authorized person of the broker for any reason. Broker can take securities belonging to clients only for settlement of securities sold by the client.
- Always keep your contact details viz. Mobile number/Email ID updated with the stock broker. Email and mobile number is mandatory and you must provide the same to your broker for updation in Exchange records. You must immediately take up the matter with Stock Broker/Exchange if you are not receiving the messages from Exchange/Depositories regularly.
- Don't ignore any emails/SMSs received from the Exchange for trades done by you. Verify the same with the Contract notes/Statement of accounts received from your broker and report discrepancy, if any, to your broker in writing immediately and if the Stock Broker does not respond, please take this up with the Exchange/Depositories forthwith.
- Check messages sent by Exchanges on a weekly basis regarding funds and securities balances reported by the trading member, compare it with the weekly statement of account sent by broker and immediately raise a concern to the exchange if you notice a discrepancy.
- Please do not transfer funds, for the purposes of trading to anyone, including an authorized person or an associate of the broker, other than a SEBI registered Stock broker.
Issued in the interest of Investors
As per the notifications issued by the stock exchanges and NSDL, we request you to update your 6 mandatory KYC attributes in your broking and demat accounts. The 6 mandatory fields are name, complete address including PIN, PAN, valid mobile number, valid email-Id, and income details / range. We request you to provide this information to us latest by 31st December 2021 failing which restrictions will be applied on non-compliant accounts. Please contact your relationship manager for any help and clarifications..
Equity Capital Markets
With a long-established reputation for excellence, Barclays is one of the pre-eminent franchises in the equity markets. Our equity capital market capabilities include initial public offerings, follow-on offerings, equity-linked securities, equity derivatives, share repurchase and private equity transactions. We have a global team of equity product specialists who work closely with coverage bankers around the world to originate, structure and market equity and equity-linked securities to investors.
Barclays has excelled at guiding both issuers and investors through the most challenging of market conditions
We are a premier provider of execution and clearing services to institutional asset managers, the hedge fund community and other financial institutions. Our combined equities, fixed-income and commodities approach delivers product innovation at all stages of the investment lifecycle, creating efficient market access across regions. Our voice and electronic execution alternatives are designed to accommodate dynamic trading demands, and our clearing solutions interface seamlessly with clients' infrastructure, processing and reporting requirements. We focus our intellectual capital on achieving the client's business vision.