I don’t know how true it is in the context of India but, according to an MIT Technology Review article I read recently, when you buy a stock online, you don’t actually own the stock. The exchange does and what you “own” is only an IOU from your broker.
An IOU is only as valuable as the institution that gives it. If the institution goes bust, the IOU is not worth the paper it’s written on, and your portfolio becomes worthless.
“If you buy a stock, you don’t actually own it – a centralized institution like an exchange does. What you “own” is only an IOU from your broker” ~ @techreview .
OMG it means you'll lose your investment if your broker goes bust even if the shares you bought rock.— Ketharaman Swaminathan (@s_ketharaman) October 15, 2018
Some people might be inclined to believe that Kotak Securities is a more stable and trustworthy institution since it belongs to a Bank and the chances of it going bust are quite low.
Therefore, such people may not care so much about paying brokerage. They may use Kotak Securities because they feel that their capital is safer via an IOU from Kotak Securities rather than from some rando broker.
BTW, this is why I use ICICIdirect – and have been doing so for nearly 20 years – despite being aware of alternatives that charge zero brokerage.
UPDATE DATED 5 DECEMBER 2019:
In the light of the current Karvy kerfuffle, this has become a hot topic.
The common man is wondering if he should shut down his brokerage account with third party companies like Zerodha and move their stock portfolio to a bank brokerage company.
Wannabe financial gurus are saying, no need, stock is owned by end customer and kept with custodians, brokerage is only an intermediary, don’t worry.
"It isn’t any safer to have a demat account with a bank versus a broker like Zerodha…changing a broker and going to a bank level DP, I don’t think it’s going to make any difference"
More in our Podcast with @deepakshenoy & @AstuteAditya https://t.co/03DBYvHsaQ
— Capitalmind (@capitalmind_in) November 28, 2019
But, then, leading banks are giving loans to Karvy and accepting these shares as collateral, which can happen only if the shares are in Karvy’s name.
I doubt if all 4 banks will grant loans to Karvy by mistaking end-customer shares as Karvy's shares. Let me go out on a limb & predict that, eventually, it will be argued / proved that shares belong to Karvy & end-customers only have IOU. Only time will tell!
— Ketharaman Swaminathan (@s_ketharaman) December 4, 2019
Overall, there’s a bit of chaos and uncertainty!
UPDATE DATED 7 DECEMBER 2021:
Pundits will keep saying stock is owned by customer and held at custodian, don’t worry, but, meanwhile, here’s another case of a person who lost his stock when his rando broker went bust.
(1/N)
Sorry to hear that. But TOS of etrading account does permit broker to use Customer X's stock "as it pleases".— Ketharaman Swaminathan (@s_ketharaman) December 7, 2021
(2/N)
That said, X has the right to withdraw his / her stocks on demand. Not legal advice but that should be the thrust of legal redress (not outrage about "how did the broker gamble away my stocks?").— Ketharaman Swaminathan (@s_ketharaman) December 7, 2021
(4/4)
Disclaimer: Whatever I've said in this thread is based on what I've read on Indian media. I could be wrong either because of my lack of understanding or because IME Indian media sucks at reporting of such hair-splitting topics or both.— Ketharaman Swaminathan (@s_ketharaman) December 7, 2021
Going by Karvy case, since broker has declared bankruptcy, reg might tell exchange to make you whole. To avoid coughing up, maybe because said exigency fund is exhausted, the exchange will fob off as many people as possible.
cc: @deepakshenoy Any idea whom to seek redress from?— Ketharaman Swaminathan (@s_ketharaman) December 7, 2021