Understanding the mindset of Investor Survey

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* 4. Since how long you have been trading in the market

New client

Less than 1 year

Between 1 year and 5 years

Greater than 5 years

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* 5. My stockbroker is SEBI registered. I have individually verified this fact from

Exchange Website

SEBI Website

Have asked the stock broker if they have Registration No.

I have not verified this fact.

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* 6. Have you filled the Account Opening Form by your own or was it filled by the agent of the stockbroker?

Physical form filled on your own

Physical form filled by the representative of the stock broker and signed by you

Blank form signed by you

Online form filled by you

Online form filled by the representative of the stock broker

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* 7. I have selected the stockbroker because of

Services offered by him

Brokerage Plan offered by him

Returns promised by him

Representative known to me

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* 8. If you have opted for trading in the F&O / Currency / Commodity it is because

You have prior experience in dealing in derivatives market

Stock broker has advised stating I shall get good returns

There is greater liquidity in derivatives

There is no prior knowledge required and I just have to trade as per the broker’s advise

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* 9. The mobile number and email id stated in your Account Opening Form document is pertaining to you?

Yes, pertaining to me

No, pertaining to my family member

No, pertaining to my friend

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* 10. Which of the following have you seen as a part of the account opening form

Tariff sheet

Risk disclosure document

Power of attorney

None of the above

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* 11. Have you received client code from your stockbroker?

Yes

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* 12. Have you read the Do’s & Don’ts displayed on the Exchange website?

Yes

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* 13. Have you received the welcome kit from the Exchange and stockbroker?

Yes, received from Exchange

Not received from Exchange

Yes, received from stockbroker

Not received from stockbroker

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* 14. Are you receiving SMS / Email from Exchange and stockbroker for the trades executed on the Exchange?

Yes, received from Exchange

Not received from Exchange

Yes, received from stockbroker

Not received from stockbroker

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* 15. Do you trade with your own funds or borrowed funds

Own Funds

Borrowed Funds

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* 16. How are orders entered for trades being executed on your behalf?

I have online trading and hence place orders myself

My relationship manager guides me where I need to place my order

I call the dealer on the number provided by him and inform him of the details of orders to be placed

My relationship manager places orders for me. I just confirm the parameters told to me

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* 17. Are you receiving the contract notes / daily margin statement / ledger from the stockbroker?

Yes

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* 18. Your trading account has been last settled

One year earlier

In the last 30 days

In the last 90 days

Last Week

I am unaware

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* 19. How are you providing Margins?

By way of transfer of funds & Securities to the stockbroker

By way of transfer of securities to the stockbroker

By way of transfer of funds and pledge of securities

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* 20. In case you have any dispute with the stockbroker you approach

Stock broker

SEBI

Stock Exchange

All of the above

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* 21. The complaint can be lodged at Exchange through the following modes:

Online Portal of the Exchange

Letter

Visiting Investor Service Centre of the stock exchange

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* 22. Can I give Cash to the Trading Member to be considered as Margin or for the purpose of Pay in of Funds

Cash dealings are not permitted in Securities Market

I can give cash upto 1 Lakh

I can give cash as there is no limit on cash dealings

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* 23. Is it compulsory to give a Power of attorney to the stockbroker to transfer shares to his pool account in case I have sold the shares and for the purpose of margin

It is not compulsory to give POA as it is voluntary document, I can transfer shares in case I have sold them, but I no longer need to transfer shares for the purpose of margin

POA is a mandatory document, it has to be given to the TM for transferring shares when I have sold them or for the purpose of margin

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* 24. Do you compare your transactions executed with the ledger provided by the stockbroker

Yes, regularly compare my transactions with the ledger provided by the stockbroker

No, I have complete faith on the stockbroker

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* 25. Is it necessary to keep a check of the transactions in your demat account

Yes

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* 26. How do you trade on the Exchange?

Based on my own understanding of the stock markets

Based on the tips received in messages, emails from unknown persons

Based on recommendations received in the media

Based on advise provided by the representative of the stock broker

Based on tips provided in my friend circle

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* 27. What do you check for in the company before investing?

Is revenue of the company increasing?

Is company making profit?

What is the position of the company in comparison to its competitors?

None of above

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* 1. Name

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* 2. Email ID

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* 3. Mobile No.

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* 4. Since how long you have been trading in the market

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* 5. My stockbroker is SEBI registered. I have individually verified this fact from

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* 6. Have you filled the Account Opening Form by your own or was it filled by the agent of the stockbroker?

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* 7. I have selected the stockbroker because of

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* 8. If you have opted for trading in the F&O / Currency / Commodity it is because

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* 9. The mobile number and email id stated in your Account Opening Form document is pertaining to you?

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* 10. Which of the following have you seen as a part of the account opening form

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* 11. Have you received client code from your stockbroker?

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* 12. Have you read the Do’s & Don’ts displayed on the Exchange website?

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* 13. Have you received the welcome kit from the Exchange and stockbroker?

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* 14. Are you receiving SMS / Email from Exchange and stockbroker for the trades executed on the Exchange?

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* 15. Do you trade with your own funds or borrowed funds

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* 16. How are orders entered for trades being executed on your behalf?

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* 17. Are you receiving the contract notes / daily margin statement / ledger from the stockbroker?

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* 18. Your trading account has been last settled

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* 19. How are you providing Margins?

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* 20. In case you have any dispute with the stockbroker you approach

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* 21. The complaint can be lodged at Exchange through the following modes:

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* 22. Can I give Cash to the Trading Member to be considered as Margin or for the purpose of Pay in of Funds

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* 23. Is it compulsory to give a Power of attorney to the stockbroker to transfer shares to his pool account in case I have sold the shares and for the purpose of margin

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* 24. Do you compare your transactions executed with the ledger provided by the stockbroker

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* 25. Is it necessary to keep a check of the transactions in your demat account

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* 26. How do you trade on the Exchange?

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* 27. What do you check for in the company before investing?