Trading in Equities with AUM Capital empowers & equips you with all the required
prowess for smart investment decisions and serves all your investment needs. AUM
Capital ensures a superlative trading experience by
- Adherence to processes
- Powerful Research & Analytics and
- Some of the finest dealing rooms in the marketplace
The AUM Capital Edge
- Pan India footprint
- Powerful research and analytics supported by a pool of highly skilled research
- Ethical business practices
- Offline/Online delivery models
Online facility to view client collateral lying with the TM
SEBI vide circular SEBI/HO/MRD2_DCAP/CIR/2021/0598 dated July 20, 2021 and NSE / NCL vide its
circulars NCL/CMPL/49348 dated August 20, 2021, NCL/CMPL/49640 dated September 17, 2021 and
NCL/CMPL/49764 dated September 29, 2021 has put in place a framework for Segregation and
Monitoring of Collateral at Client Level.
In accordance with aforesaid circular and with a view to provide visibility of client-wise
collateral, Clearing Corporations have provided a web portal facility to allow investors to view
their disaggregated collateral placed with Member and as reported by their registered Trading
Member /Clearing Member.
The said facility will provide the following benefits:
Investors can verify/ validate the collaterals deposited by them with the members vis-à-vis the
collaterals reported by members to clearing corporations.
Investors can also view break-up of their collateral lying with the trading member, clearing member
and clearing corporations.
Visibility through web portal will bring transparency with respect to their collateral placed with
trading member on daily basis in seamless manner.
Members are expected to submit the collateral details as at the end of business on a given day
(say T) before 5:00 PM on next working day (T+1). Thus, the collateral details as reported by the
Member for the registered investor would be available for viewing after 5:00 PM.
Investors can register with the respective clearing corporations and view the collateral details
reported by the members for the previous five days.
Investors are requested to ensure that their email address and mobile number are updated by their
Trading Members in UCI System of the Exchanges, as the same would be validated at the time of user
registration to view the collateral details.
Investors may note that collaterals placed with Trading Member/Clearing Member in one form (e.g. cash)
may have been passed on by the Trading Member to Clearing Member or by the Clearing Member to the
Clearing Corporations in any other form (e.g. fixed deposit/ bank guarantee).
Investors are urged to regularly view the details of their collateral available with the respective clearing corporations and in case Investors
find any discrepancy in the collateral deposited by them with their members and
as reported by respective trading members/clearing members to clearing corporations, they are advised to take
up the matter immediately with their trading member. In case of non-resolution of discrepancy by the trading
member, Investors may intimate the same to the Exchange at email id firstname.lastname@example.org/toll free number 18002660050 (Option 5) or
register an online complaint at https://www.nseindia.com/invest/download-complaint-form-for-offline-registration
Thanks & Regards
AUM Capital Market Private Limited