1) I have received the mail from HO Grievances Cell informing that one of my client has complained to HO for trade related dispute and asking for details & feedback of the same, how to reply ?

You need to give complete feedback to HO giving confirmation as how client’s order is placed at your end regularly. You also need to provide the proofs to substantiate your reply. Hence, following information is mandatory to provide along with your feedback

Confirm whether client was calling personally/ visiting to office to execute the orders.
Provide call recordings confirming that order were placed with due consent from client and trade confirmations given to clients.
Provide visitor’s Register copy if client is personally visited to office to execute the trades.
Provide Copy of Ledger confirmations taken from client periodically, if any.
Authority letter in case family member is executing orders on behalf of client.

In case of any additional assistance in the matter, you can get in touch with our Regional Team.

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