Investor Protection Guideline

Do’s & Don’ts for Investment in Stock Markets

Do's

  • Always deal with a broker registered with SECP. You can verify the same from the websites of SECP or stock exchange.
  • Carefully and completely fill in all account opening forms (AOFs) and obtain copies including all the documents executed with the Brokers.  Fill out the following fields in particular with care:
    • Nominee
    • Authorized person
    • Order placement method
    • Trade confirmation receipts
  • Beware of sudden spurt in price or trading activity
  • Pay your margins
  • Documents you must keep:
    • Trade confirmation
    • Payment receipts
    • Ledger reports
    • CDC account balance reports
  • Make payments through crossed cheque in the name of broker.
  • Give orders either in writing or on recorded telephone line of the broker.
  • Make sure to receive a trade confirmation within 24 hours. 
  • Obtain copy of schedule of applicable fee and charges from the broker for your record.
  • Always obtain periodical statement of accounts from broker and CDC and compare with your record.

Don’ts

  • Do not leave anything blank in your Account Opening Form (AOF)
  • Do not execute any documents without fully understanding its terms and conditions.
  • Never forgo obtaining all documents of transactions, in good faith.
  • Do not transact based on media reports, rumors or 'tips' or promises of guaranteed or high returns.
  • Do not to authorize someone else to operate your account on your behalf without knowing the consequences. Keep in mind that such authorization carries risk of misuse of authority by the authorized person and may lead to fraud.
  • Do not fall for guaranteed returns.
  • Do not get misled by companies showing irrelevant approvals / registrations.

Complaints / Claims

If you are not satisfied with the manner in which your claim/complaint is handled, you may use any of the following options to lodge your complaint:

For Submitting your Complaint Online please click on the following link:

Service Desk for Online Complaint Registration

To mail your complaint by Post, please send it at the following address:

Securities and Exchange Commission of Pakistan
National Insurance Corporation Building,
Jinnah Avenue,
Islamabad-44000, Pakistan.

Or alternatively, they may be emailed to
 

complaints@secp.gov.pk