* What services do they provide?

Client Registration:

* Opening of Securities Accounts

* Deposit of Securities

* Withdrawal of Securities

* Transfer of Securities

* Generation of Contract Notes

* Attending to the documentation

* Settlement of transactions

* Portfolio Management

* Execute and confirm buy/sell transactions

* Advise and facilitate takeovers and mergers

* Sponsoring listing

* Applications for companies

* Investment advise

Providing information:

* Assistance and information dissemination with regard to new issues

* Research and reports on the performance of listed companies and their securities

It is mandatory for you to obtain the services of a stockbroker in transacting in the secondary market.

How do you select your Investment advisor?

The Stockbroker should act in the client’s best interest. Therefore, he should possess the following qualities.

-Competence

He should be qualified and experienced and have a thorough knowledge of market behaviour.

The Broker should be certified by the CSE or the SEC and hold the Investment Advisor Certification.

- Integrity

The stockbroker should give fair treatment to his clients, and not for his personal gain. He must account for all transactions properly.

- Knowledge about “what’s happening around”

The Broker should possess knowledge on the needs of hte client, market behaviour and Political, Economic, Social & Technological factors.

- Forecasting

This is the process of analyzing current and historical data to determine future trends. Stock analysts use various forecasting methods to determine future stock price movements, earnings, etc.

What research services are offered by Stock Broker Firms?

Most brokers have a research unit that studies the market in general and specific companies in particular.

With this research they are able to recommend shares for you to purchase. They publish research in the form of

- Sector reports

- Daily and Weekly reports

- Company specific reports

- Daily valuation reports

The broker makes recommendations to the best of his ability and should not be liable in case the recommendation is found to be incorrect.