Investor Charter

ANNEXURE A · INVESTOR CHARTER IN RESPECT OF RAs

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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

  • ✓ 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

Onboarding of Clients

  • Sharing of terms and conditions of research services
  • Completing KYC of fee paying clients

Disclosure to Clients:

  • To disclose, information that is material for the client to make an informed decision, including details of its business activity, disciplinary history, the terms and conditions of research services, details of associates, risks and conflicts of interest, if any
  • To disclose the extent of use of Artificial Intelligence tools in providing research services
  • To disclose, while distributing a third party research report, any material conflict of interest of such third party research provider or provide web address that directs a recipient to the relevant disclosures
  • To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst.
  • 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.

D. Grievance Redressal Mechanism

1. How to lodge a complaint:

Directly with Research Analyst:

In case of any grievance / complaint, an investor may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.

Through SCORES or RAASB:

2. What happens to a SCORES grievance:

Step 1: Routed to RAASB
Step 2: RAASB contacts RA
Step 3: RA files Action Taken Report
Step 4: RAASB reviews ATR
Step 5: If dissatisfied, SEBI review

E. Expectations from Investors

Do's

  • • Always deal with SEBI registered Research Analyst.
  • • Ensure RA has a valid registration certificate.
  • • Check SEBI registration number on SEBI Website
  • • Pay attention to disclosures before investing.
  • • Pay through banking channels only.
  • • Ask relevant questions and clear doubts.
  • • Inform SEBI about RA offering guaranteed returns.

Don'ts

  • • Do not provide funds for investment to the RA.
  • • Don't fall prey to luring advertisements or market rumors.
  • • Do not get into cash transactions for paying fees to the RA.
  • • Do not opt for assured or guaranteed returns schemes.

Support & Grievances

For any grievances or support, please contact the Grievance Officer:

Name:Shubham Ganesh Shirkar
Phone:+91 8422990105
SEBI Registration No:INH000016913