SEBI Investor Charter

Investor Charter in respect of Research Analyst (RA)

Vision and Mission Statements for investors.

OUR VISION

To protect the interests by enabling them to understand the risks involved and invest in fair, transparent, secure market, and to get services in a timely and efficient manner.

OUR MISSION

* To have streamlined procedures to ensure ease of transacting/investing in securities market for investors.

* To ensure that SEBI registered intermediaries/regulated entities adhere to their investor charters, including grievance redressal mechanism.

* To enable investors to understand risks involved before investing.

* To ensure fair and equitable treatment to investors.

* To ensure confidentiality of information shared by investors unless such information is required to be provided in furtherance of discharging legal obligations or investors have provided specific consent to share such information.

* To analyse the causes of investor grievances on a periodic basis and make appropriate policy amendments if required.

* To provide for alternative dispute resolution mechanism in agreements between investors and Market Infrastructure Institutions/ Intermediaries.

* To encourage innovative and digital solutions in securities market.

Details of business transacted by the Research Analyst with respect to the
investors.

* To publish research report based on the research activities of the RA.

* To provide an independent unbiased view on securities.

* To offer unbiased recommendation, disclosing the financial interests in
recommended securities.

* To provide research recommendation, based on analysis of publicly
available information and known observations.

* To conduct audit annually.

Details of services provided to investors (No Indicative Timelines)

* Onboarding of Clients.

* Disclosure to Clients.

* To distribute research reports and recommendations to the clients
without discrimination.

* To maintain confidentiality w.r.t publication of the research report until made available in the public domain.

Details of grievance redressal mechanism and how to access it

In case of any grievance / complaint, an investor should approach the concerned
research analyst and shall ensure that the grievance is resolved within 30 days.

If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint
with SEBI on SEBI’s SCORES portal which is a centralized web based complaints
redressal system. SEBI takes up the complaints registered via SCORES with the
concerned intermediary for timely redressal. SCORES facilitates tracking the status
of the complaint.

With regard to physical complaints, investors may send their complaints to: Office
of Investor Assistance and Education, Securities and Exchange Board of India,
SEBI Bhavan. Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E),
Mumbai – 400 051.

INVESTORs have RIGHT to:

* Get fair and equitable treatment.

* Expect redressal of investor grievances filed in SCORES in a time bound manner.

* Get quality services from SEBI recognized Market Infrastructure Institutions and SEBI registered intermediaries/regulated entities/ Asset Management Companies including right to exit at fair and reasonable terms from the securities market related product or service and avail Online Dispute Resolution mechanism for the disputes, if any, arising therefrom.

INVESTORS have RESPONSIBILITY to:

* Deal with SEBI recognised Market Infrastructure Institutions and SEBI registered intermediaries / regulated entities only.

* Update their contact details like address, mobile number, email address, nomination, etc. and other key KYC details in case of any change.

* Ensure that grievances are taken up with the concerned entities within time limits prescribed.

* Ensure that their accounts are operated only for their own benefit.

* Do’s

* Always deal with SEBI registered Research Analyst.

* Ensure that the Research Analyst has a valid registration certificate.
Check for SEBI registration number.

* Please refer to the list of all SEBI registered Research Analysts which is
available on SEBI website in the following link:
(https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes
&intmId=14).

* Always pay attention towards disclosures made in the research reports before Pay your Research Analyst through banking channels only and maintain duly
signed receipts mentioning the details of your payments.

* Before buying securities or applying in public offer, check for the research
recommendation provided by your research Analyst.

* Ask all relevant questions and clear your doubts with your Research Analyst
before acting on the recommendation.

* Inform SEBI about Research Analyst offering assured or guaranteed returns.

* Read and understand the documents carefully before investing.

* Know about the Investor Grievance Redressal Mechanism.

* Know the risks involved before investing.

* Keep track of account statements and promptly bring any discrepancy noticed to the concerned stock exchange, intermediary or Asset Management Company.

* Know about various fees, charges, margins, premium, etc. involved in the transactions.

* Preserve relevant transaction related documents.

* Don’ts

* Do not provide funds for investment to the Research Analyst.

* Don’t fall prey to luring advertisements or market rumours.

* Do not share login credentials and password of your trading and demat
accounts with the Research Analyst.

* Don’t make payments in cash while making any investment in securities market, beyond the prescribed limit.

* Don’t share your critical information like account details, login ids, passwords, DIS, etc. with anyone.

Complaint Data to be displayed by RAs:

Data for the month ending – JAN, 2025 (Data was updated on 3rd JAN,2025)

Received from	Pending at the end of last month	Received	Resolved	Total Pending	Pending complaints > 3 months	Average Resolution time (in days)
Directly from investor	Nil	Nil	Nil	Nil	Nil	Nil
SEBI (SCORES)	Nil	Nil	Nil	Nil	Nil	Nil
Other Sources (if any)	Nil	Nil	Nil	Nil	Nil	Nil
Grand Total	Nil	Nil	Nil	Nil	Nil	Nil

*Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.

 

Sr No.	Received From	Carried Forward From Previous Month	Received	Resolved	Pending
1	Oct, 2024	Nil	Nil	Nil	Nil
2	Nov, 2024	Nil	Nil	Nil	Nil
3	Dec, 2024	Nil	Nil	Nil	Nil
Grand Total of last 3 months		Nil	Nil	Nil	Nil

*Inclusive of complaints of previous months resolved in the current month.
*Inclusive of complaints pending as on the last day of the month

 

 

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