⭐ NSE MEMBER | SEBI: INZ000270222 | 30+ YEARS OF EXCELLENCE | Mutual Funds Sahi NAHI Hai ⭐

Policies

How Vimal & Sons deals with its clients

These are the policies Vimal & Sons follows in dealing with its clients, as required by SEBI and the exchanges. Policies marked View Online are maintained as web pages and the PDF is generated from that same page, so the two can never disagree. The remainder are available as PDFs.

Our Policies & Procedures — exposure limits, penny-stock refusal, penalties, the right to sell, account suspension, inactive clients and deregistration — form part of the Disclosure Document.

PMLA / AML & CFT Policy

Anti-Money Laundering, CFT and PMLA policy, including Section 12A (WMD Act) proliferation-financing screening, per SEBI Master Circular dated 6 June 2024.

Last reviewed: 1 June 2026

View Online Download PDF

Risk Management Policy

Exposure limits, margin collection and mark-to-market, unpaid-securities (CUSPA) liquidation, square-off, surveillance and penny-stock refusal.

Last reviewed: 1 June 2026

View Online Download PDF

Inactive / Dormant Account Policy

Treatment of inactive and dormant accounts — 24-month definition, reactivation, UCC flagging and settlement of client funds, per NSE/BSE circular dated 25 October 2024.

Last reviewed: 1 June 2026

View Online Download PDF

Internal Control Policy

Internal controls over client registration, order handling, records and supervision.

Last reviewed: April 2026

View Online Download PDF

Surveillance Policy

Transactional alerts received from the exchange, and how each is reviewed and dispositioned.

Last reviewed: April 2026

View Online Download PDF

Conflict of Interest Policy

Identification, elimination and management of conflicts of interest, per SEBI circular CIR/MIRSD/5/2013 dated 27 August 2013.

Last reviewed: April 2026

View Online Download PDF

Client Code Modification Policy

When a client code may be modified, the approval trail required, and the limits on such modifications.

Last reviewed: April 2026

View Online Download PDF

Policy on Circulation of Unauthenticated News

Prohibition on employees, temporary staff and dealing persons circulating unauthenticated market news.

Last reviewed: April 2026

View Online Download PDF

Policy on Pre-Funded Instruments

Acceptance of demand drafts and pay orders of Rs. 50,000 or more, and the proof of source required.

Last reviewed: April 2026

View Online Download PDF

NISM Series VII (SORM) Policy

Certification requirements for associated persons, per SEBI Notification LAD-NRO/GN/2010-11/21/29390 dated 10 December 2010.

Last reviewed: April 2026

View Online Download PDF