SEBI Investor Charter

Investor Charter in respect of Research Analyst (RA)

A. Vision and Mission Statements for investors.
* Vision
Invest with knowledge & safety.
* Mission
Every investor should be able to invest in right investment products based on
their needs, manage and monitor them to meet their goals, access reports and
enjoy financial wellness.

B. 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.

C. Details of services provided to investors (No Indicative Timelines)
* Onboarding of Clients.
* Disclosure to Clients.
o To distribute research reports and recommendations to the clients
without discrimination.

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

D. 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.

E. Expectations from the investors (Responsibilities of investors).

* Do’s

i. Always deal with SEBI registered Research Analyst.
ii. Ensure that the Research Analyst has a valid registration certificate.
iii. Check for SEBI registration number.
iv. 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).

v. Always pay attention towards disclosures made in the research reports before
investing.
vi. Pay your Research Analyst through banking channels only and maintain duly
signed receipts mentioning the details of your payments.
vii. Before buying securities or applying in public offer, check for the research
recommendation provided by your research Analyst.
viii. Ask all relevant questions and clear your doubts with your Research Analyst
before acting on the recommendation.
ix. Inform SEBI about Research Analyst offering assured or guaranteed returns.

* Don’ts
 i. Do not provide funds for investment to the Research Analyst.

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

iii. Do not get attracted to limited period discount or other incentive, gifts, etc.
offered by Research Analyst.

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

Complaint Data to be displayed by RAs:

Data for the month ending – Mar, 2024 (Data is updated on 7th of every month)

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	Jan, 2024	Nil	Nil	Nil	Nil
2	Feb, 2024	Nil	Nil	Nil	Nil
3	Mar, 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

 

We are here to assist you if there is any grievance! Whatsapp us @ 9791040416