August 19, 2014

Sub : E-mail and SMS alerts to Investors


Attention of the Trading Members of the Exchange is invited to SEBI Circular No. CIR/MIRSD/15/2011, dated August 02, 2011 and Exchange Notice dated 5th August 2011 regarding SMS and E-mail alters to Investors by Stock Exchanges. 

As you may be aware, Exchanges, with the objective of reducing the number of investor complaints relating to unauthorized trading and to safeguard Trading Members’ own interest, provides details of the transactions to all investors through mails and SMSs whose email address and mobile numbers are updated by the trading members in UCI Online.  SEBI has advised Stock Exchanges to obtain the information from Members for their respective clients whose mobile number/email-id has still not been updated. Members are hereby urged to obtain the mobile number and e mail ID for all the clients who have transacted during the FY 2014-15 and upload the same latest by August 19, 2014.

In this regard, Trading Members are advised to check their respective client details from “WEBX Client List” in Class Back-office and update the Mobile Number and E-mail IDs of their clients wherever still not been updated. 

As regards other clients who may wish to trade, Trading Members are urged to first obtain their mobile number and e mail ID and upload the same on the UCI online. Trading Members are requested to take note of the aforementioned requirements and upload the details of clients, failing which the matter shall be viewed seriously.


Sripriya Senthilkumar