(i) All the purchase transaction should be done through Own fund.
(ii) Transaction should not result in creation of artificial volume or price influence in either direction i.e. far away from the last traded price.
(iii) The purchases in the scrip should be solely for "Investment" Purpose. Purchases should be made from own sources of funds.
(iv) The sales in the scrip should be solely for "disinvestment" Purpose. Sales of shares should be made from own demat account and the client should be beneficial owner of the said shares.
(v) If shares are received through Off market transfer then BA should submit the NOC, PAN card copy & DP Transaction Statement of Third Party to MOSL. (Where BA should assure that shares are not received through off market transfer to third party).
(vi) Client should have 100% Cash Credit while dealing in low volume scrip.
(vii) Client’s Portfolio should not be concentrated in single scrip i.e. high value exposures should not be concentrated in single scrip and should spread over 3-4 Scrip to avoid concentration risk.
(viii) Client should not act as a counter party to the said trades either from MOSL or from any other trading member.
(ix) Client or BA should not spread Rumor, Unpublished price sensitive information about any of the company.
(x) Trading turnover of the client should be keeping in line with the income & occupation updated in KYC. And BA should update the financial information of client periodically, where BA should submit documentary evidence such as latest bank statement / demat transaction statement / Net worth Certificate duly signed by chartered accountant or any other documents to satisfy itself.
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