1. Introduction

Facility of voluntary freezing/blocking of Trading Accounts by Clients With reference to SEBI circular SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 dated January 12, 2024 Many a times, investors raise issues of suspicious activities in their trading accounts and thus, there is an urgent need to address the situation of having a facility for blocking of trading accounts as it is available for blocking of ATM Cards and Credit Cards. Similar facility of voluntary blocking/ freezing of demat accounts is already available for investors and this facility is now proposed to be offered to the investors for their trading accounts also.

2. Purpose

The policy aims to guide Goyal securities clients on the process, modes, and other details for facilitating the voluntary freezing of their trading accounts to avoid any suspicious activity.

3. Scope and Applicability

This policy shall be applicable as and when clients intend to voluntary freeze / block access to their trading account and subsequently desires to unfreeze the same. This is policy is the part of Risk Management Policy. This policy shall also form a part of the account opening kit for all new clients on boarded with effect from July 01, 2024.

4. Process & Procedute by the client to Voluntary freezing of online access of client’s trading account

(I)Through Dedicated Email

Client may request by Dedicated Mail id   - “stoptrade@goyalsecurities.com” with the following details

• Subject of the Email “Request for block the client trading a/c./ Request for re-enabling the client for trading”.

• Client Code

• Client Name

• E-mail id

• Mobile no. (Registered)

(II)Through SMS

by register request via tele-confirmation at 0141-2368999 & SMS on mobile no +91-9414083937

• Subject of the SMS “Request for block the client trading a/c./ Request for re-enabling the client for trading”.

• Client Code

• Client Name

• E-mail id

• Mobile no. (Registered)

Through the Website

1. Request for freezing

Client may request for voluntary freezing / blocking the their trading account through the website https://www.goyalsecurities.com/,  the client must enter all following details Displays on the Page and submit the request:-

• Client Code

• Client Name

• E-mail id

• Mobile no. (Registered)

The client shall submit request for freeze.

2. Request for Un-freezing

Client may request for unfreezing / unblocking their trading account through the website https://www.goyalsecurities.com/,  the client must enter all following details Displays on the Page and submit the request:-

• Client Code

• Client Name

• E-mail id

• Mobile no. (Registered)

5. Process & Process & Procedure by the Goyal securities to Voluntary freezing/blocking & unfreezing/unblocking of online access of client’s trading account

On receipt of such request, the access of the client's trading account shall be voluntary freezed/blocked & unfreezed/unblocked by the backend team within the stipulated time frame i.e. within 15 minutes at best effort basis as recommended by exchange .

6. Policy Review:

The said policy shall be a part of Goyal securities Risk Management Policy and shall be reviewed along with the said policy as & when required.

7. Relvent circulars:-

• SEBI/HO/MIRSD/POD-1/P/CIR/2024/4 dated January 12, 2024 

• MCX/INSP/218/2024 dated April 09, 2024 

• NSE/INSP/61529 dated April 08, 2024 

• NCDEX/COMPLIANCE-025/2024 dated April 09, 2024 

Request for Voluntary freezing

Click  Request for freezing - Through the Website

Or

Email to : stoptrade@goyalsecurities.com

Request for Voluntary Un-freezing

Click  Request for Un-freezing - Through the Website

Or

Email to : stoptrade@goyalsecurities.com