SEBI & Investing: Batch 08 Action Guides

10 distinct application pages. The established Finin2min hub remains the canonical source/law layer.

Demat Nomination Updated but Old Nominee Still Visible: Depository and DP Correction Checklist

For **Demat Nomination Updated but Old Nominee Still Visible**, first fix **risk/liquidity impact** and the governing date. Reconcile **account/security identity** to the **complaint acknowledgement**, then complete the operational step only when **KYC/nomination status** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Mutual Fund Folio Name Differs from PAN: KYC and Redemption-Readiness Workflow

For **Mutual Fund Folio Name Differs from PAN**, first fix **complaint/escalation route** and the governing date. Reconcile **trade/corporate-action chronology** to the **demat/folio statement**, then complete the operational step only when **cash/unit/share reconciliation** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Broker Contract Note Does Not Match Exchange Trade Log: Price, Quantity and Charge Audit

For **Broker Contract Note Does Not Match Exchange Trade Log**, first fix **account/security identity** and the governing date. Reconcile **KYC/nomination status** to the **contract note/order log**, then complete the operational step only when **risk/liquidity impact** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Options Position Auto-Squared Off Unexpectedly: Broker Policy, Margin and Complaint Evidence

For **Options Position Auto-Squared Off Unexpectedly**, first fix **trade/corporate-action chronology** and the governing date. Reconcile **cash/unit/share reconciliation** to the **bank/payment record**, then complete the operational step only when **complaint/escalation route** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Margin Pledge Released but Shares Still Blocked: Depository and Broker Escalation Checklist

For **Margin Pledge Released but Shares Still Blocked**, first fix **KYC/nomination status** and the governing date. Reconcile **risk/liquidity impact** to the **corporate-action/RTA record**, then complete the operational step only when **account/security identity** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Rights Issue Application Money Debited but Shares Not Allotted: Registrar and Bank Reconciliation

For **Rights Issue Application Money Debited but Shares Not Allotted**, first fix **cash/unit/share reconciliation** and the governing date. Reconcile **complaint/escalation route** to the **scheme/issue document**, then complete the operational step only when **trade/corporate-action chronology** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Bond Credit Rating Downgraded After Purchase: Portfolio, Covenant and Liquidity Review

For **Bond Credit Rating Downgraded After Purchase**, first fix **risk/liquidity impact** and the governing date. Reconcile **account/security identity** to the **complaint acknowledgement**, then complete the operational step only when **KYC/nomination status** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Mutual Fund Scheme Merger: Cost, Tax Lot and Investor-Choice Checklist

For **Mutual Fund Scheme Merger**, first fix **complaint/escalation route** and the governing date. Reconcile **trade/corporate-action chronology** to the **demat/folio statement**, then complete the operational step only when **cash/unit/share reconciliation** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Delisted Share Still in Demat Account: Valuation, Tax and Exit-Evidence Review

For **Delisted Share Still in Demat Account**, first fix **account/security identity** and the governing date. Reconcile **KYC/nomination status** to the **contract note/order log**, then complete the operational step only when **risk/liquidity impact** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow

Demat Account Closure Completed but DP Charges Persist: Statement and Mandate Cleanup

For **Demat Account Closure Completed but DP Charges Persist**, first fix **trade/corporate-action chronology** and the governing date. Reconcile **cash/unit/share reconciliation** to the **bank/payment record**, then complete the operational step only when **complaint/escalation route** and the evidence agree. If the source is a draft, consultation or strategy report, do not convert it into an operative legal requirement.

P1 — high-intent workflow