CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED – STOCK BROKING BUSINESS

Contact Details

Names and contact details of all Key Managerial Personnel including the Compliance Officer

Escalation Matrix for Investor Grievance

Brief on Regulatory Requirement on KYC requirement for Eligible Foreign Investors:

The KYC requirement for Eligible Foreign Investors ("EFIs") is determined based on the risk based approach as contained in the SEBI Circular dated September 12, 2013 . The EFIs are categorized as Category I, II and III and the KYC requirement for each category is prescribed in the said circular.

Further, SEBI issued Frequently Asked Questions (FAQs) on May 23, 2014 , providing guidance and clarification on the provision of KYC information by EFIs. The KYC completion requirement of existing EFIs is linked to their conversion to FPIs as mentioned in the said FAQs. EFIs are mandatorily required to update their KYCs through their Designated Depository Participants as per the timelines mentioned in the FAQ, failing which they will be restricted from undertaking further transactions.

Guidelines on Technical Glitches to prevent business disruptions:
With reference to NSE and BSE circulars dated 15 Dec 21 on the subject titled “Guidelines on Technical Glitches to prevent business disruptions” (“circular”), we would like to inform you that while the requirement under Section IV of the circular does not apply to Citigroup Global Markets India Private Limited (‘CGMIPL’), there are robust internal Continuity of Business (‘COB’) policies and standards in place which are also tested periodically. These set of standards, among other things, cover the requirements of having a well-documented BCP/DR policy, alternate means of communication, identification of critical operations of the member, having a distinct DR site, periodic testing etc. The RTO and RPO is not more than 4 hours and 30 mins respectively.

Brief on Regulatory Requirement on Trading Requirement for Non Institutional Investors

Citigroup Global Markets India Private Limited accepts securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020. We request clients to update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge. As per exchange guidelines clients are required to 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 BSE notice no. 20200731-7 dated July 31, 2020 and 20200831-45 dated August 31, 2020 and NSE circular no. NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.

Investors may refer to the consolidated account statement issued by NSDL/CDSL every month to check their Securities /MF/ Bonds.

Guidelines on Technical Glitches to prevent business disruptions:
With reference to NSE and BSE circulars dated 15 Dec 21 on the subject titled “Guidelines on Technical Glitches to prevent business disruptions” (“circular”), we would like to inform you that while the requirement under Section IV of the circular does not apply to Citigroup Global Markets India Private Limited (‘CGMIPL’), there are robust internal Continuity of Business (‘COB’) policies and standards in place which are also tested periodically. These set of standards, among other things, cover the requirements of having a well-documented BCP/DR policy, alternate means of communication, identification of critical operations of the member, having a distinct DR site, periodic testing etc. The RTO and RPO is not more than 4 hours and 30 mins respectively.

CITIGROUP GLOBAL MARKETS INDIA PRIVATE LTD, CIN: U99999MH2000PTC126657, Registered office address : Citigroup Global Markets India Private Limited, 1202, 12^th Floor, First International Financial Centre, G Block, Bandra Kurla Complex, Bandra East, Mumbai - 400098. Phn: 91-22-6175 9999, Fax: 91-22-6175 9898, SEBI Registration No: BSE & NSE: INZ000263033 Compliance officer name : Mr.Vishal Bohra - Phone No. 91-22-6175 9999 - E-mail ID: cgmcompliance@citi.com

Encouraging investors to participate in voting on motions moved by Listed Companies:
The stock exchanges (NSE & BSE) issued circulars requiring trading member to create awareness among its investors to encourage more participation in voting on motions moved by listed entities. Please find below links for your reference & use that would enable you to participate in the process voting on motions of listed companies.

• ◦ NSDL eVoting System
• ◦ CDSL-eVoting System (evotingindia.com)

Updation of Mobile number and Email id of Clients

Precautions for clients dealing in options

Investor Awareness regarding the revised guidelines on margin collection

Client Registration Documents in Vernacular Languages

Details of Authorised Persons

List of Client Bank Accounts

Account Opening - Step-by-step procedure cum Flowchart for Account Opening

Procedure for filing Investor Complaint

Client Collateral Details

Investor awareness about making complaints in case of Unsolicited Commercial Communication (“UCC”) and fraudulent activities using telecom     resources in Securities Markets

Public notice on caution regarding impersonation

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