Investigate a participant-depository holding difference

Compare DP transaction and holding records with NSDL or CDSL position files for the affected account and security. A DP specialist identifies pending corporate action or failed posting and records the approved repair.

A request needs specialist review, financial concurrence or delegated approval.

People in the process

DDP OperationsProcess Owner
DDepositoryParticipating Team
CComplianceParticipating Team

Records it works with

Request, scope and proposed decision
Applicable policy and approval authority
Supporting technical, commercial and control records

The process is a starting point.The standards are yours.

Configure for the SEBI registration, exchange membership and business activity. Broker, fund, portfolio-manager and investment-adviser requirements are separate.

Keep the work connected.

Depository Participant Operations

Resolve a demat instruction rejection with evidence

For a DP, match the signed or authenticated client instruction, account mandate, depository rejection and security balance. DP operations seeks the needed correction or client re-authorisation before processing a transfer.

Depository Participant Operations

Escalate an FPI eligibility or account change

For a designated DP, connect an FPI’s changed ownership or documentation with registration, KYC and custodian records. The authorised DDP specialist determines the required review and records the investor communication.

CCI

Brokerage Operations

Investigate a broker client-funds break

For a stock broker, compare client ledger obligations, bank credits, clearing statements and exchange submissions; identify timing versus incorrect allocation. Operations obtains the authorised correction and preserves the trail before the next settlement or client statement.

Explore all Capital markets processes.

Order for the work. Room for the people.