CITIGROUP GLOBAL MARKETS INDIA PRIVATE LIMITED – STOCK BROKING BUSINESS

Contact Us

Contact Details

Stock Broker Name Registered Number Registered Address Branch Address (if any) Contact Number Email id Corporate Identity Number (CIN)
Citigroup Global Markets India Private Limited INZ000263033 1202, 12th Floor, First International Financial Centre, G Block, Bandra Kurla Complex, Bandra (East), Mumbai, Maharashtra - 400098 NA 91-22-61759999 cgmcompliance@citi.com
cgmsecretarial@citi.com		 U99999MH2000PTC126657

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

Sr. No Name of the Individual Designation Mobile Number Email Id
1 Mr. Vishal Bohra Compliance Officer +91 22 6175 9994 vishal.bohra@citi.com
2 Mr. Rahul Navale Designated Director +91 22 6175 9909 rahul.navale@citi.com
3 Mr. Sougata Basu Designated Director +91 22 6175 9926 sougata.basu@citi.com
4 Mr. Rishi Iyer Designated Director +91 22 6175 9936 rishi.iyer@citi.com
5 Ms. Nidhi Parekh Company Secretary +91 22 6175 9999 nidhi.sansare@citi.com

Escalation Matrix for Investor Grievance

Details of Contact Person Address Contact No. Email Id
Customer Care (Institutional Broking only) Sales Trader 1202, 12th Floor, First International Financial Centre, G Block, Bandra Kurla Complex, Bandra (East), Mumbai, Maharashtra – 400098 91-22-61759999 Working Hours
Mon-Fri :
9.00 AM-5.00 PM		 investors.cgmeq@citi.com
Head of Customer Care (Institutional Broking only) Abhishek Gupta/ Sougata Basu 91-22-61759999 Mon-Fri :
9.00 AM-5.00 PM		 India.execution@citi.com
Compliance Officer Vishal Bohra 91-22-61759994 Mon-Fri :
9.00 AM-5.00 PM		 cgmcompliance@citi.com
CEO Not Applicable

In absence of response/complaint not addressed to your satisfaction, you may lodge a complaint with:
SEBI at https://scores.gov.in/scores/Welcome.html or
NSE at https://investorhelpline.nseindia.com/NICEPLUS/ or
BSE at https://bsecrs.bseindia.com/ecomplaint/frmInvestorHome.aspx or
ODR Portal at https://smartodr.in/login
Please quote your Service Ticket/Complaint Ref No. while raising your complaint at SEBI SCORES/Exchange portal/ODR portal

Investor Charter

Advisory for investors

Online Resolution of Disputes

SMARTODR

Eligible Foreign Investors:

Name of the Document Brief Significance of the Document Link for each document
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES  
Account Opening Form KYC form - Document captures the basic information about the constituent and an instruction/check list. Click here
Rights and Obligations Document stating the Rights & Obligations of stock broker/trading member, sub broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). Click here
Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market. Click here
Guidance note Document detailing do's and don'ts for trading on exchange, for the education of the investors. Click here
Policies and Procedures Document describing significant policies and procedures of the stock broker Click here
Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) Click here
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER  
Additional Terms and Conditions for Institutional Clients Non-mandatory / voluntary clauses Click here
ADDITIONAL DOCUMENTS
Investor Education on Anti Money Laundering Click here
Important information regarding dealing in securities of listed stock exchanges in India Click here
Important information regarding dealing in securities of depositories in India Click here
Important information regarding Complaint Redressal Mechanism through SCORES Click here
Advisory for KYC Compliance by 31st March 2022 Click here
Download Complete Account Opening Pack Click here
Declaration in relation to exchange traded foreign exchange derivative contracts. Click here

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.

Domestic Institutional Investors/Corporate Investors:

Name of the Document Brief Significance of the Document Link for each document
MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES  
Account Opening Form KYC form - Document captures the basic information about the constituent and an instruction/check list. Click here
Trading Account related details Document captures the additional information about the constituent relevant to trading account and an instruction/check list. Click here
Rights and Obligations Document stating the Rights & Obligations of stock broker/trading member, sub broker and client for trading on exchanges (including additional rights & obligations in case of internet/wireless technology based trading). Click here
Most Important Terms and Conditions_For Non Custodial Settled Trading Accounts Document describing Most Important Terms and Conditions_For Non Custodial Settled Trading Accounts Click here
Risk Disclosure Document (RDD) Document detailing risks associated with dealing in the securities market. Click here
Guidance note Document detailing do's and don'ts for trading on exchange, for the education of the investors. Click here
Policies and Procedures Document describing significant policies and procedures of the stock broker Click here
Tariff sheet Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock exchange(s) Click here
VOLUNTARY DOCUMENTS AS PROVIDED BY THE STOCK BROKER  
Additional Terms and Conditions for Domestic Institutional Investors Non-mandatory / voluntary clauses Click here
Additional Terms and Conditions for Corporate Investors Non-mandatory / voluntary clauses Click here
ADDITIONAL DOCUMENTS
Investor Education on Anti Money Laundering Click here
Important information regarding dealing in securities of listed stock exchanges in India Click here
Important information regarding dealing in securities of depositories in India Click here
Important information regarding Complaint Redressal Mechanism through SCORES Click here
Advisory for KYC Compliance by 31st March 2022 Click here
Download Complete Account Opening Pack Click here
Declaration in relation to exchange traded foreign exchange derivative contracts. Click here

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, 12th 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.

Other Additional Disclosures/For Investor Awareness

Updation of Mobile number and Email id of Clients

"Attention Investors:
Prevent Unauthorised transactions in your account → Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day.
.......... Issued in the interest of investors"

Precautions for clients dealing in options

Avoid practices like: a) Sharing of trading credentials – login id & passwords including OTP’s. b) Trading in leveraged products like options without proper understanding, which could lead to losses c) Writing/selling options or trading in option strategies based on tips, without basic knowledge & understanding of the product and its risks d) Dealing in unsolicited tips through Whatsapp, Telegram, YouTube, Facebook, SMS, calls, etc. e) Trading in “Options” based on recommendations from unauthorised/unregistered investment advisors and influencers.

Investor Awareness regarding the revised guidelines on margin collection

Client Registration Documents in Vernacular Languages

The Client Registration Documents in vernacular languages are available at the following links. It may be noted that the documents are a translated version of the original documents in English. In case of any ambiguity the contents of the English version would prevail.

Details of Authorised Persons

List of Client Bank Accounts

“Investors are requested to note that Stockbroker (name of stock broker) is permitted to receive/pay money from/to investor through designated bank accounts only named as client bank accounts. Stock broker (name of stock broker) is also required to disclose these client bank accounts to Stock Exchange. Hence, you are requested to use following client bank accounts only for the purpose of dealings in your trading account with us. The details of these client bank accounts are also displayed by Stock Exchanges on their website under “Know/Locate your Stock Broker”.


Bank Accounts

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

Procedure for filing Investor Complaint

Investor Complaints Data

2021

Name of the Document Link for each document
ADDITIONAL DOCUMENTS  
Investor Complaints Data – Dec 2021 Click here

2022

Name of the Document Link for each document
ADDITIONAL DOCUMENTS  
Investor Complaints data – January 2022 Click here
Investor Complaints data – February 2022 Click here
Investor Complaints data – March 2022 Click here
Investor Complaints data – April 2022 Click here
Investor Complaints data – May 2022 Click here
Investor Complaints data – June 2022 Click here
Investor Complaints data – July 2022 Click here
Investor Complaints data – August 2022 Click here
Investor Complaints data – September 2022 Click here
Investor Complaints data - October 2022 Click here
Investor Complaints data – November 2022 Click here
Investor Complaints data – December 2022 Click here

2023

Name of the Document Link for each document
ADDITIONAL DOCUMENTS  
Investor Complaints data – Jan 2023 Click here
Investor Complaints data – Feb 2023 Click here
Investor Complaints data – Mar 2023 Click here
Investor Complaints data – April 2023 Click here
Investor Complaints data – May 2023 Click here
Investor Complaints data – June 2023 Click here
Investor Complaints data – July 2023 Click here
Investor Complaints data – August 2023 Click here
Investor Complaints data – September 2023 Click here
Investor Complaints data – October 2023 Click here
Investor Complaints data – November 2023 Click here
Investor Complaints data – December 2023 Click here

2024

Name of the Document Link for each document
ADDITIONAL DOCUMENTS  
Investor Complaints data – Jan 2024 Click here
Investor Complaints data – Feb 2024 Click here
Investor Complaints data – Mar 2024 Click here
Investor Complaints data – Apr 2024 Click here

Disclaimer

Disclaimer: “The information provided on or contained in any file that can be viewed or downloaded from this web page or set out in any communication containing a link to this web page is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject Citigroup Global Markets India Private Limited (CGMIPL), and its affiliates, including Citigroup Inc. ("Citi") to any registration requirement within such jurisdiction or country. Neither the information, nor any opinion contained in this site in any file that can be viewed or downloaded from this web page constitutes a solicitation or offer by Citi to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service. Readers, investors, potential investors are required to independently examine their respective eligibility to invest in Indian markets.”

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