Upstox and RKSV Securities: Investor Information and Complaint Procedures

Investors utilizing Upstox Securities Private Limited, a subsidiary of RKSV Securities India Private Limited, have several avenues to monitor their investments and address concerns. This guide details key investor protections, contact information, and complaint procedures as of February 25, 2026.

Company Overview and Registration Details

Upstox Securities Private Limited is registered with the Securities and Exchange Board of India (SEBI) under registration number INZ000315837. It provides trading access across multiple exchanges, including the National Stock Exchange (NSE) – TM Code: 13942, the Bombay Stock Exchange (BSE) – TM Code: 6155, and the MCX – TM Code: 46510. Demat account services are facilitated through CDSL (Reg No.: IN-DP-761-2024).

RKSV Commodities India Private Limited is an associate of RKSV Securities India Private Limited and holds SEBI Registration No.: INZ000015837.

Key Contact Information

For investor inquiries and complaints, the following contacts are available:

• Compliance Officer (Upstox): Mr. Kapil Jaikalyani, Tel No.: (022) 24229920, Email ID: compliance@upstox.com
• Compliance Officer (RKSV): Mr. Amit Lalan, Tel No.: (022) 24229920, Email ID: compliance@rksv.in
• Complaints (Upstox): complaints@upstox.com
• MCX Trading Complaints (Upstox): complaints.mcx@upstox.com

Registered Addresses:

• Upstox Securities Pvt. Ltd. & RKSV Securities India Pvt. Ltd.: 809, Modern Delhi House, Barakhamba Road, Connaught Place, New Delhi – 110001
• RKSV Commodities India Pvt. Ltd.: 807, New Delhi House, Barakhamba Road, Connaught Place, New Delhi – 110001
• Correspondence Address (RKSV): 30th Floor, Sunshine Tower, Senapati Bapat Marg, Dadar (West), Mumbai – 400013

Filing a Complaint with SEBI

Investors can file complaints with the Securities and Exchange Board of India (SEBI) through the SCORES portal. Mandatory details for filing a complaint include name, PAN, address, mobile number, and email ID. The SCORES portal offers effective communication and speedy redressal of grievances. SEBI SCORES Portal

Significant Investor Protections and Warnings

• Risk Disclosure: Investment in the securities market is subject to market risks. Investors should carefully read all related documents before investing.
• Derivatives Risk: Nine out of ten individual traders in equity Futures and Options segments incur net losses. Loss-making traders experience net trading losses averaging ₹ 50,000, plus an additional 28% as transaction costs.
• Unsolicited Investment Advice: Investors are cautioned against sharing login credentials, trading strategies, or position details.
• Leveraged Products & Options: Exercise caution when trading leveraged products or derivatives like options, as they can lead to significant losses.
• Unverified Tips: Avoid acting on unsolicited investment tips received through platforms like WhatsApp, Telegram, or social media.
• Unauthorized Advisors: Be wary of individuals claiming to represent Upstox or RKSV offering trading services. Report such instances to complaints@upstox.com and complaints.mcx@upstox.com.
• KYC Updates: Keep your KYC information updated with your depository participant, and stockbroker.
• Demat Account Security: Update your mobile number with your depository participant to receive alerts for transactions.
• Consolidated Account Statement (CAS): Regularly check your Consolidated Account Statement (CAS) issued by NSDL/CDSL.

Online Dispute Resolution (ODR)

SEBI has established an Online Dispute Resolution (ODR) Portal for resolving disputes in the Indian Securities Market. SEBI ODR Portal

Disclaimer

Upstox Securities Private Limited is a wholly-owned subsidiary of RKSV Securities India Private Limited. Upstox shall not accept any liability arising out of your investments. Brokerage will not exceed the SEBI prescribed limit.