Governance is nothing but decision-making and the process by which it is implemented. Good governance must reflect certain key characteristics for successful business operations. It must be participatory, consensus driven, high on accountability as well as transparency. It must be responsive, effective, efficient, equitable, inclusive and in line with the law.
At Unifi, the highest standards of governance are upheld and imbibed into the core functioning of the organisation, and not just as a statutory obligation.
Compliance and Audit
We are committed to strict adherence to various regulations, and believe that a strong culture of compliance is a source of competitive advantage in the long run. Unifi’s Portfolio Management Service is regulated by the Securities and Exchange Board of India (SEBI). Unifi is a member of the National Stock Exchange of India (NSE) and is licensed to offer Portfolio Management (PMS) and Brokerage Services in equities and derivatives.
All client accounts are audited annually by one of the reputed firms of accountants. An audit report with financial statements is provided to the client by the auditor to file tax returns. Unifi is committed to strict adherence of various regulations and believes that a strong culture of compliance is a source of competitive advantage in the long run.
- Prevent Unauthorised Transactions in your Trading/Demat A/c. Update your Mobile Number/Email IDs with your Broker/DP.
- Receive Alerts & Information of your transactions directly from Exchange/CDSL on your Mobile/Email at the end of the day.
- 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.
- Beneficial Owners are advised to use ASBA facility while applying for IPOs. There is no need to issue cheques.
- Investors are advised to abstain from dealing in any schemes of unauthorized collective investments/portfolio management, indicative/guaranteed/fixed returns/payments etc.
- Regarding Securities margin
- 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 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.
- Check your securities / MF / bonds in the consolidated account statement issued by NSDL/CDSL every month.
..........Issued in the interest of Investors.
- No complaints received from our investors during the last 5 year period.