Gateway Financial Services LTD

Advisory And Notices

Dear Clients,

NSE Vide its circular dated July 06, 2022 has informed the trading members to carry out due diligence of all those clients wishing to trade in derivative segment of the Exchange more specifically in the Options segment to avoid any kind risk/threat that may occur as the derivative Products are not designed for general Public whose Income does not support the trade Position in Options.

Further in line with this circular all clients trading in derivative segments are informed to kindly update your financial details/income with us so as to avoid disallowance of trading in derivative Products.

Our compliance department will analyse the Income details with the turnover and in case of any serious deviation your account will be blocked for trading in derivative Products and it will be at the sole discretion of XYZ Limited

Further Please also note that following actions needs your attention at all times and request you to desist from following activity to ensure smooth Operations of your trading account maintained with us.

Sharing of trading credentials – login id & passwords including OTP’s.
Trading in leveraged products like options without proper understanding, which could lead to losses
Writing/ selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks
Dealing in unsolicited tips through WhatsApp, Telegram, YouTube, Facebook, SMS, calls, etc.
Trading in “Options” based on recommendations from unauthorised / unregistered investment advisors and influencers

What is SMART ODR?

The SMART ODR (Online Dispute Resolution Portal) is an investor-friendly, fully digital platform introduced by SEBI to resolve disputes between investors and market intermediaries in a fast, cost-effective, and transparent manner. This platform enables online conciliation and arbitration, making the dispute resolution process seamless and accessible from anywhere.

Key Highlights:

100% Online – No paperwork or physical visits.
Quick and Transparent – Time-bound resolution process.
For All Investors – Retail and institutional clients.
Covers Brokers, Depository Participants, AMCs, RTAs, etc.

How to Use the SMART ODR Platform?

First, raise your complaint directly with us (the market participant).
If not resolved satisfactorily, escalate via SEBI SCORES (https://scores.gov.in).
If still unresolved, initiate dispute resolution via the SMART ODR Portal:
Visit: https://smartodr.in
Register/login
Submit your complaint and documents
Track resolution status online

Who Can Use SMART ODR?

Investors (retail and institutional)
Clients of stock brokers, DPs, AMCs, RTAs, etc.
Any party involved in securities market-related disputes

Why It Matters

This initiative by SEBI enhances investor protection and provides an efficient grievance redressal mechanism for disputes involving market entities.
As a responsible market participant, we encourage all our clients to utilize the SMART ODR platform for resolution of unresolved issues

Issued in public interest

As per SEBI Circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/145

It is to inform you that SEBI Vide circular dated August 01, 2019; February 25, 2020 has made Margin collection (Initial Margin; M2M) mandatory for trading in Cash/Equity Segment effective August 01,2020 failing which Penalty will be levied by the Exchanges for not meeting the Margin requirement.

Therefore, in compliance with the same, we request all the clients to provide us the sufficient margin either in the form of Funds and or securities before undertaking any trade on the Exchange through us. Moreover, it is also applicable for intraday trades undertaken by the client.

We request you to provide the securities in our client Collateral account if you wish to undertake the trade and comply with the SEBI requirement of fulfilling the Margin obligation requirement in Cash Segment (Applicable on both Delivery & Non- Delivery).

It is also reiterated that SEBI circular also envisages that the Shares can be given for Margin to the Stock broker through Pledge Instruction only initiated through depository System.

Therefore in lieu of the same any charges levied by the Depository will be simultaneously charged to clients on actual basis

Therefore, we request you to kindly Provide us the Margin as required through SEBI circular as mentioned above in order to meet the margin requirement as applicable for trading in the Cash segment.