About Us

VERTEX Securities is a Public Limited Company since 1993 listed on Bombay Stock Exchange with main offices in Cochin and Mumbai. We are Members of both NSE and BSE, offering end-to-end online digital platform for trading in Equity and Derivatives (Futures and Options) backed by strong Research Support and 24/7 Personalised Customer Care. Over the years, we have grown from strength to strength to become a major player in India's financial services sector. Our mission is to help our clients create wealth in a safe, secure environment enjoying the experience. We provide easy to use high technology for effortless trading or investing in Stock | Commodities | Currency Markets | IPOs | Mutual Funds through mobile and web apps where you are in complete control. And for those, who love personal interactions, we welcome you to our network of 250 offices across India. We are Vertex Securities Ltd, online wealth managers with 28 years of successful track record helping clients create wealth across India. We support our clients 24/7 with a growing network of over 250 offices in different locations in India. You have the freedom to use our services entirely online from your mobile phone / laptop or contact us through email, phone or visit our offices for your wealth creation journey - for Investment Ideas, live Stock Market sessions, Mutual Funds / Bonds, Insurance etc. We invite you to participate in our regular wealth creation webinars and live discussions in Clubhouse. Our experienced, knowledgeable and licensed team of finance professionals at our Wealth Management, Kochi, Mumbai, Bengaluru, Chennai, Mumbai, Ernakulam Regional Offices and Kochi Head Office will guide you safely.

Our Mission:

our mission is to help our clients create wealth in a safe, secure environment enjoying the experience. we provide easy to use high technology for effortless trading or investing through mobile and web apps where you are in complete control.

Our Vision:

Wealth Creation Secrets & Techniques for you.

Our Advantages:

No.1 Mobile app for Trading (Via Vertex Mobile app)
Online Mutual Fund
Online Insurance Support/Services
Online a/c opening, trading with fully integrated back office for self
Viewing of Stock holdings
Margin, Pay-in, Pay-out etc...

Service:

Online and Offline Support
Location based Relationship Manager
28 Years Experience and Trust
Automated WhatsApp Services

About Transwarranty

Transwarranty Finance Limited (TFL) is a Mumbai (India) head quartered full service Investment Bank providing a wide range of Financial Services to over 1000 large, small and Medium companies and thousands of retail clients all over India since 1994.Since the activities are diverse and governed by different regulatory authorities, the businesses are structured under Transwarranty Finance Limited as the flagship company and its subsidiary companies. Transwarranty Finance Limited is a Reserve Bank of India (RBI) registered Non Banking Finance Company (NBFC) with active business in Investment Banking, Corporate Finance, Project Finance, Real Estate & Infrastructure and Trade Finance. The board of directors of TFL comprises of eminent professionals like former director of Goldman Sachs Mr. Pravin Khatau, and Mr. Kumar Nair (Managing Director), who was part of the core management team in Kotak Mahindra Finance Limited till 1994. All the retail branches distribute and service the entire suite of retail finance products, which include “Equity Broking”, “Commodity Broking”, “Mutual Funds”, “IPOs”, “Other investment products like RBI Bonds” etc. Other products like “Insurance”, “Personal Loans”, “Forex – Money Changing”, “Money Transfer” etc shall be launched in due course. Over the past 12 years, Transwarranty Group has developed a strong client base comprising of majority of the large and mid cap companies, most of the banks and financial institutions, Mutual funds and Asset Management Companies and thousands of retail clients.

Mr. Kumar Nair

Chairman

He is B.Sc., F.C.A. & OPM (Harvard Business School). He is also the Managing Director of Transwarranty Finance Limited and has over two decades of experience in Financial Services, Capital Market and Investment Banking. He was a key member of the core senior management team in Kotak Mahindra Finance Limited.
Mr.U.Ramachandran

MD & CEO

He is B.Com, FCA and has close to 3 decades experience in Audit, Accounting, Capital Market and Investment Banking. He is also the Director and CFOof our Holding Company, Transwarranty Finance Limited.
Mr. George Mampilly

Director & CFO

He was earlier Chief Executive Officer of our Company and Director of subsidiary company, Vertex Commodities and Finpro (P) Limited from 2003 to 2007. He was also Chief Executive Officer, of Acumen Group for a period of 10 years. He was working as General Manager of Peninsular Capital Market Limited, a Kerala based share broking Company for five years. He was also Chief Executive of M/s Pat &Company, Cochin based Share Broking firm. He brings along with him rich experience and expertise of 20 years in the financial markets.
Mr. George Abraham Vithayathil

Independent Director

Mr. George Abraham Vithayathil (DIN:10764257) holds a Bachelors Degree in Science with specialisation in Chemistry and Physics and has an experience of over four decades in the domain of Labour Laws, International Business, Journalism and Public Relations. He has served as an Officer of Custom Services in Air India at Mumbai International Airport for more than 32 years.
Ms. Latha Anand

Independent Director

Adv. Latha Anand , daughter of Legal Luminary Dr. B.S. Krishnan, is inducted as Independent Director of Vertex Securities Limited on 12th May, 2015. Advocate and Managing Partner of the Law Firm, M/s. B.S. Krishnan Associates, she specializes in Contracts, Constitution, Arbitration, Labour and Service Laws. Standing Counsel of several Govt. Bodies and Corporate Entities, her Court cases were reported in Legal Journals. Adv. Latha is a renowned Veena Maestro and Vocalist with several stage performances to her credit. She brings to Vertex nearly 3 decades of varied legal knowledge and expertise.
Mr. Mathews Varghese

Independent Director

Mr. Mathews Varghese (DIN: 01631142) is a veteran in the field of Hotels and Hospitality and has an experience of over a decade and specialises in Operations Management and Executive Leadership with a proven track record of defining enterprise goals and workflows to ensure operational excellence.

India's No.1 Mobile Application

”OROBORO WEALTH” - Designed to provide a single-window access to the Indian Stock Market, facilitating Trading, viewing Stock holdings, Trade details, Margin, Pay-in, Pay-out and all other relevant data easily accessible instantaneously.

User-friendly
Powerful Trading Tools
Single-window access
Facilitating Trading, Trade details
Viewing of Stock holdings
Margin, Pay-in, Pay-out etc...

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Get Your Vertex Account

Sr.No	Guidance
i	Always deal with a SEBI registered Depository Participant for opening a demat account.
ii	Read all the documents carefully before signing them.
iii	Before granting Power of attorney to operate your demat account to an intermediary like Stock Broker, Portfolio Management Services (PMS) etc., carefully examine the scope and implications of powers being granted.
iv	Always make payments to registered intermediary using banking channels. No payment should be made in name of employee of intermediary.
v	Accept the Delivery Instruction Slip (DIS) book from your DP only (pre-printed with a serial number along with your Client ID) and keep it in safe custody and do not sign or issue blank or partially filled DIS slips. Always mention the details like ISIN, number of securities accurately. In case of any queries, please contact your DP or broker and it should be signed by all demat account holders. Strike out any blank space on the slip and Cancellations or corrections on the DIS should be initialed or signed by all the account holder(s). Do not leave your instruction slip book with anyone else. Do not sign blank DIS as it is equivalent to a bearer cheque.
vi	Inform any change in your Personal Information (for example address or Bank Account details, email ID, Mobile number) linked to your demat account in the prescribed format and obtain confirmation of updation in system
vii	Mention your Mobile Number and email ID in account opening form to receive SMS alerts and regular updates directly from depository.
viii	Always ensure that the mobile number and email ID linked to your demat account are the same as provided at the time of account opening/updation.
ix	Do not share password of your online trading and demat account with anyone.
x	Do not share One Time Password (OTP) received from banks, brokers, etc. These are meant to be used by you only.
xi	Do not share login credentials of e-facilities provided by the depositories such as e-DIS/demat gateway, SPEED-e/easiest etc. with anyone else.
xii	Demat is mandatory for any transfer of securities of Listed public limited companies.
xiii	If you have any grievance in respect of your demat account, please write to designated email IDs of depositories or you may lodge the same with SEBI online at https://scores.sebi.gov.in
xiv	Keep a record of documents signed, DIS issued and account statements received.
xv	As Investors you are required to verify the transaction statement carefully for all debits and credits in your account. In case of any unauthorized debit or credit, inform the DP or your respective Depository.
	Appoint a nominee to facilitate your heirs in obtaining the securities in your demat account, on completion of the necessary procedures
xvii	Register for Depository's internet based facility or download mobile app of the depository to monitor your holdings.
xviii	Ensure that, both, your holding and transaction statements are received periodically as instructed to your DP. You are entitled to receive a transaction statement every month if you have any transactions.
xix	Do not follow herd mentality for investments. Seek expert and professional advice for your investments
xx	Beware of assured/fixed returns.

Sr.No

Guidance

Always deal with a SEBI registered Depository Participant for opening a demat account.

Read all the documents carefully before signing them.

iii

Before granting Power of attorney to operate your demat account to an intermediary like Stock Broker, Portfolio Management Services (PMS) etc., carefully examine the scope and implications of powers being granted.

Always make payments to registered intermediary using banking channels. No payment should be made in name of employee of intermediary.

Accept the Delivery Instruction Slip (DIS) book from your DP only (pre-printed with a serial number along with your Client ID) and keep it in safe custody and do not sign or issue blank or partially filled DIS slips.

Always mention the details like ISIN, number of securities accurately. In case of any queries, please contact your DP or broker and it should be signed by all demat account holders.

Strike out any blank space on the slip and Cancellations or corrections on the DIS should be initialed or signed by all the account holder(s).

Do not leave your instruction slip book with anyone else.

Do not sign blank DIS as it is equivalent to a bearer cheque.

Inform any change in your Personal Information (for example address or Bank Account details, email ID, Mobile number) linked to your demat account in the prescribed format and obtain confirmation of updation in system

vii

Mention your Mobile Number and email ID in account opening form to receive SMS alerts and regular updates directly from depository.

viii

Always ensure that the mobile number and email ID linked to your demat account are the same as provided at the time of account opening/updation.

Do not share password of your online trading and demat account with anyone.

Do not share One Time Password (OTP) received from banks, brokers, etc. These are meant to be used by you only.

Do not share login credentials of e-facilities provided by the depositories such as e-DIS/demat gateway, SPEED-e/easiest etc. with anyone else.

xii

Demat is mandatory for any transfer of securities of Listed public limited companies.

xiii

If you have any grievance in respect of your demat account, please write to designated email IDs of depositories or you may lodge the same with SEBI online at https://scores.sebi.gov.in

xiv

Keep a record of documents signed, DIS issued and account statements received.

As Investors you are required to verify the transaction statement carefully for all debits and credits in your account. In case of any unauthorized debit or credit, inform the DP or your respective Depository.

Appoint a nominee to facilitate your heirs in obtaining the securities in your demat account, on completion of the necessary procedures

xvii

xviii

Ensure that, both, your holding and transaction statements are received periodically as instructed to your DP. You are entitled to receive a transaction statement every month if you have any transactions.

xix

Do not follow herd mentality for investments. Seek expert and professional advice for your investments

Beware of assured/fixed returns.

i	Receive a copy of KYC, copy of account opening documents
ii	No minimum balance is required to be maintained in a demat account.
iii	No charges are payable for opening of demat accounts.
iv	If executed, receive a copy of Power of Attorney. However, Power of Attorney is not a mandatory requirement as per SEBI / Stock Exchanges. You have the right to revoke any authorization given at any time.
v	You can open more than one demat account in the same name with single DP/ multiple DPs
vi	Receive statement of accounts periodically. In case of any discrepancies in statements, take up the same with the DP immediately. If the DP does not respond, take up the matter with the Depositories.
vii	Pledge and /or any other interest or encumbrance can be created on demat holdings.
viii	Right to give standing instructions with regard to the crediting of securities in demat account.
ix	Investor can exercise its right to freeze/defreeze his/her demat account or specific securities / specific quantity of securities in the account, maintained with the DP.
x	In case of any grievances, Investor has right to approach Participant or Depository or SEBI for getting the same resolved within prescribed timelines.
xi	Every eligible investor shareholder has a right to cast its vote on various resolutions proposed by the companies for which Depositories have developed an internet based ‘e-Voting’ platform.
xii	Receive information about charges and fees. Any charges/tariff agreed upon shall not increase unless a notice in writing of not less than thirty days is given to the Investor.
xiii	Right to indemnification for any loss caused due to the negligence of the Depository or the participant.
xiv	Right to opt out of the Depository system in respect of any security.

(a)	Always abide by the provisions of the SEBI Act, 1992 Depositories Act, 1996, any Rules or Regulations framed thereunder, circulars, guidelines and any other directions issued by the Board from time to time.
(b)	Adopt appropriate due diligence measures.
(c)	Take effective measures to ensure implementation of proper risk management framework and good governance practices.
(d)	Take appropriate measures towards investor protection and education of investors.
(e)	Treat all its applicants/members in a fair and transparent manner.
(f)	Promptly inform SEBI of violations of the provisions of the SEBI Act, 1992 the Depositories Act, 1996, rules, regulations, circulars, guidelines or any other directions by any of its issuer or issuer’s agent.
(g)	Take a proactive and responsible attitude towards safeguarding the interests of investors, integrity of depository’s systems and the securities market.
(h)	Endeavor for introduction of best business practices amongst itself and its members.
(i)	act in utmost good faith and shall avoid conflict of interest in the conduct of its functions.
(j)	not indulge in unfair competition, which is likely to harm the interests of any other Depository, their participants or investors or is likely to place them in a disadvantageous position while competing for or executing any assignment.
(j)	(k) segregate roles and responsibilities of key management personnel within the depository including a. Clearly mapping legal and regulatory duties to the concerned position b. Defining delegation of powers to each position c. Assigning regulatory, risk management and compliance aspects to business and support teams
(l)	be responsible for the acts or omissions of its employees in respect of the conduct of its business.
(m)	monitor the compliance of the rules and regulations by the participants and shall further ensure that their conduct is in a manner that will safeguard the interest of investors and the securities market.

(1)	A participant shall make all efforts to protect the interests of investors.
(2)	A participant shall always endeavour to— (a) render the best possible advice to the clients having regard to the client’s needs and the environments and his own professional skills; (b) ensure that all professional dealings are effected in a prompt, effective and efficient manner; (c) inquiries from investors are adequately dealt with; (d) grievances of investors are redressed without any delay.
(3)	A participant shall maintain high standards of integrity in all its dealings with its clients and other intermediaries, in the conduct of its business.
(4)	A participant shall be prompt and diligent in opening of a beneficial owner account, dispatch of the dematerialisation request form, rematerialisation request form and execution of debit instruction slip and in all the other activities undertaken by him on behalf of the beneficial owners.
(5)	A participant shall endeavour to resolve all the complaints against it or in respect of the activities carried out by it as quickly as possible, and not later than one month of receipt.
(6)	A participant shall not increase charges/fees for the services rendered without proper advance notice to the beneficial owners.
(7)	7. A participant shall not indulge in any unfair competition, which is likely to harm the interests of other participants or investors or is likely to place such other participants in a disadvantageous position while competing for or executing any assignment.
(8)	A participant shall not make any exaggerated statement whether oral or written to the clients either about its qualifications or capability to render certain services or about its achievements in regard to services rendered to other clients.
(9)	A participant shall not divulge to other clients, press or any other person any information about its clients which has come to its knowledge except with the approval/authorisation of the clients or when it is required to disclose the information under the requirements of any Act, Rules or Regulations.
(10)	A participant shall co-operate with SEBI as and when required.
(11)	A participant shall maintain the required level of knowledge and competency and abide by the provisions of the Act, Rules, Regulations and circulars and directions issued by the Board. The participant shall also comply with the award of the Ombudsman passed under the Securities and Exchange Board of India (Ombudsman) Regulations, 2003.
(12)	A participant shall not make any untrue statement or suppress any material fact in any documents, reports, papers or information furnished to SEBI.
(13)	A participant shall not neglect or fail or refuse to submit to SEBI or other agencies with which it is registered, such books, documents, correspondence, and papers or any part thereof as may be demanded/requested from time to time.
(14)	A participant shall ensure that SEBI is promptly informed about any action, legal proceedings, etc., initiated against it in respect of material breach or non- compliance by it, of any law, Rules, regulations, directions of the Board or of any other regulatory body.
(15)	A participant shall maintain proper inward system for all types of mail received in all forms.
(16)	A participant shall follow the maker—checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.
(17)	A participant shall take adequate and necessary steps to ensure that continuity in data and record keeping is maintained and that the data or records are not lost or destroyed. It shall also ensure that for electronic records and data, up- to- date back up is always available with it.
(18)	A participant shall provide adequate freedom and powers to its compliance officer for the effective discharge of his duties.
(19)	A participant shall ensure that it has satisfactory internal control procedures in place as well as adequate financial and operational capabilities which can be reasonably expected to take care of any losses arising due to theft, fraud and other dishonest acts, professional misconduct or omissions.
(20)	A participant shall be responsible for the acts or omissions of its employees and agents in respect of the conduct of its business.
(21)	A participant shall ensure that the senior management, particularly decision makers have access to all relevant information about the business on a timely basis.
(22)	A participant shall ensure that good corporate policies and corporate governance are in place.

About Us

Our Mission:

Our Vision:

Our Advantages:

Service:

About Transwarranty

Mr. Kumar Nair

Mr.U.Ramachandran

Mr. George Mampilly

Mr. George Abraham Vithayathil

Ms. Latha Anand

Mr. Mathews Varghese

India's No.1 Mobile Application

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