Evidence Vault

Dispatch log for daily margin statements to every client with delivery statistics, combined with the four-snapshot peak margin compliance summary for the same period.

Daily acknowledgements from the exchanges for margin collection reporting, with the short-collection register showing penalty instances and client-passthrough exclusions.

Daily confirmations from the clearing corporation that end-of-day client fund balances were upstreamed, reconciled against the firm's designated client bank accounts.

Daily segregation computation (client funds vs own funds) pulled from the back-office ledger, with exchange submission receipts for each trading day of the current quarter.

Return of changes in shareholding, directorships and constitution for the quarter ended 30 June 2026, filed with both recognised stock exchanges inside the fifteen-day window. The prior-approval limb of Part V — OBL-SB-027 — is not evidenced by this artifact and stays unbound.

SCORES complaint aging report showing no complaint pending beyond 21 days, paired with an automated snapshot verifying the investor charter and monthly complaint data remain published on the website.

Draft board policy governing handling of clients' unpaid securities under the CUSPA pledge regime, fixing the disposal window at 5 trading days. Pending board approval — scheduled for the 28-Aug-2026 board meeting.

Coverage computation across all active accounts for nomination or signed opt-out. Coverage stands at 94.1% — below the 100% requirement; the residual 214 accounts are under re-papering (TSK-008).

Settlement register extract showing every client on a 30- or 90-day running-account cycle settled within the cycle, with retention statement dispatch records.

Configuration probe of every order-entry path carrying direct market access or smart-order-routed flow, testing that each terminates on the risk management system and that the price, quantity and exposure checks cannot be bypassed, with a synthetic order-flow trace to confirm the gate is live rather than merely configured.

Register of all client-facing advertisements and marketing material released in FY27 to date, each entry cross-referenced to the prior exchange approval obtained before release.

Board-approved conflicts of interest policy covering research, distribution, proprietary trading and employee dealing, bundled with the conflicts register and the record of disclosures made to clients where a conflict could not be avoided. The policy's document record DOC-019 is still held at `received` — parsed, awaiting the compliance officer's sign-off.

Automated posture scan verifying 180-day log retention across critical systems and multi-factor authentication enforcement on every privileged and remote-access path.

Export of KRA validation status for all active clients, confirming KYC records are registered/validated with a KRA and risk profiling exists prior to first trade.

Archival system retention-policy verification (5-year preservation, WORM storage, integrity sampling) combined with the contract-note dispatch log measured against the 24-hour SLA. RUN-049 re-used the same capture for the Part IV electronic-contract-note duty: the signature-validity sample and the preservation policy are what that obligation tests. The signing certificate in use lapses on 14-Aug-2026, beyond the window this check covers, and no renewal evidence has been captured — which is why the obligation is carried at risk on an artifact that itself passed.

Board-noted cyber incident response SOP defining the 6-hour reporting workflow to SEBI/CERT-In and exchanges, with the record of the Q1 FY27 tabletop drill including timing evidence.

Half-yearly internal audit report (Oct 2025 – Mar 2026) by M/s Kelkar & Rao LLP with board-review minute and exchange filing receipt, bundled with the FY26 branch and authorised-person inspection reports.

Vulnerability assessment and penetration test across the trading front-end, back-office APIs and admin plane. Two medium findings remain open pending re-test (TSK-009); closure re-validation scheduled.

Closure report on migration of all client authorisations from Power of Attorney to Demat Debit and Pledge Instruction, with CDSL confirmation that zero PoA-based debits remain enabled.

Registration and classification record under the India–US Inter-Governmental Agreement and the Multilateral Competent Authority Agreement, with the due-diligence procedure applied at account opening and the collation of reportable accounts for the annual cycle. Drawn from the source document DOC-016; no identification number is reproduced.

Net-worth evidence for the half-year ended 31 Mar 2026. The certificate wrapper is a simulated specimen; the net-worth figure it reports is the entity's real filed figure, sourced from its XBRL filing.

Enrolment confirmation on the SMART ODR portal, including the market-participant identifier allotted to the firm and a snapshot of the website disclosure linking clients to the portal.

Residency day-count for the designated director computed from the HR travel log and immigration-stamp register, attested against the ≥182-day requirement.

Certified true copy of the board resolution appointing Priya Nair as Compliance Officer, together with the intimation letters filed with NSE and BSE and her NISM-Series-III-A certification record.