Invest In Your FUTURE

Neo Wealth Management Private Limited CIN-U74140MH2021PTC367572

SEBI Registration No.: INZ000306537 (Stock Broking) |NSE Trading Member Code: 90296 | BSE Clearing Member : 6792 | IN-DP-725-2022 (CDSL) | CDSL DP ID: 12096600 |NSDL DP ID : IN304756 | AMFI Registration Number: 258756

The services offered by Neo Wealth Management Private Limited includes Broking, Depository Participant, Investment Advisory and Research. In case of any queries regarding our services, please write to neocare@neo-wealth.com . In case of any grievances related to our services please write to ig@neo-wealth.com.

Compliance Officer: Mr. A. Jayadevan. Ph: +91 22 66423600, Email: Compliance@neo-wealth.com.

Investment Adviser: INA000017286-Type-Non Individual , Validity of Registration-Perpetual, Principal Officer Contact Number +91 22 66423600, Email Id- PO_advisory@neo-wealth.com|

Registered Address: 903, B-Wing, 9th Floor, Marathon Futurex, Mafatlal Mills Compound, N.M. Joshi Marg, Lower Parel Mumbai, 400013. Tel +91 22 66423600.

Corresponding SEBI office address - C/4-A, G Block BKC, Bandra Kurla Complex, Bandra East, Mumbai, Maharashtra 400051

Investment in securities market are subject to market risks, read all the related documents carefully before investing. Please ensure you carefully read the Risk Disclosure Document as prescribed by SEBI. Brokerage will not exceed SEBI prescribed limit.

Neo Wealth Management Private Limited-AMFI-registered Mutual Fund Distributor
Neo Wealth Management Private Limited is a distributor for Non-Broking Products/Services such as Mutual Funds. All disputes with respect to the distribution activity of these non-exchange traded products, would not have access to Exchange investor redressal forum or Arbitration mechanism.

Mutual fund investments are subject to market risks, read all scheme related documents carefully.

The securities quoted are exemplary and are not recommendatory.

Registration granted by SEBI, membership of BASL and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.

ASBA :- No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investors account.

KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.

Kindly note that as per NSE circulars nos: NSE/INVG/36333 dated November 17, 2018, NSE/INVG/37765 dated May 15.2018 and BSE circular nos: 20171117-18 dated November 17, 2018, 20180515-39 dated May 15.2018, trading in securities in which unsolicited messages are being circulated is restricted. The list of such stocks are available on the website of NSE & BSE. Investors are advised not to blindly follow the unfounded rumours, Tips given in social networks, SMS, WhatsApp, Blogs etc. and invest only after conducting appropriate analysis of respective companies.

Attention Investor,
• Update your email id and mobile number with your stock broker / depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.

• Prevent unauthorised transactions in your account. Update your mobile numbers/email IDs with us. Receive information of your transactions directly from Stock Exchange / Depositories on your mobile/email at the end of the day and alerts on your registered mobile for all debits and other important transactions in your demat account directly from CDSL/NSDL on the same day. - Issued in the interest of investors. Circular No.: NSE/INSP/27436, BSE - 20140901-21

• Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.

• Pay 20% upfront margin of the transaction value to trade in cash market segment.

• Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 and BSE vide notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020 dated August 31, 2020 and other guidelines issued from time to time in this regard.

• Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

• Important update: Mandatory 6 KYC Attributes and Pan Aadhaar linking.

Clients are required to ensure the following 6 KYC attributes are updated for their Demat and Trading account: Name, Address, PAN, Valid Mobile Number, Valid E-mail ID, and Income Range. Any non-compliant account for the above requirement will be liable to be made inactive.

• In case PAN is not seeded with AADHAAR before 31st March, 2023 or any other date as notified by Government, it will not be considered as a valid PAN. Visit https://eportal.incometax.gov.in/iec/foservices/#/pre-login/bl-link-aadhaar to link it now.

• CDSL/NSDL advisory : If non-compliant clients have taken any position for any settlements from June 30, 2022, they should execute Early / normal pay-in instructions for transferring securities to TM/CM/CC well in advance but latest by EOD of July 01, 2022, to avoid the risk of non-delivery for sell trades of June 30, 2022 and July 01, 2022 due to freezing of demat accounts for debits as mentioned above. Future dated debit instructions (if any and balance is not blocked in the account) executed for the deficient account, would be failed once account is frozen for debits.

• Disclosure as to Proprietary Trades by Neo Wealth: Neo Wealth Management Private Limited may carry out proprietary trades in addition to trades on behalf of its clients.

• Dear Investor,

As you are aware, under the rapidly evolving dynamics of financial markets, it is crucial for investors to remain updated and well-informed about various aspects of investing in securities market. In this connection, please find a link to the BSE Investor Protection Fund website where you will find some useful educative material in the form of text and videos, so as to become an informed investor.

https://www.bseipf.com/investors_education.html

We believe that an educated investor is a protected investor !!!

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