Investor Charter

Investor Charter in respect of Research Analyst (RA)

As on 06-Dec-2024

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.

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 for Investors:

  • 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.

DONT’s for Investors:

  • 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.

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
    • 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. 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
  • 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: www.sebi.gov.in
  • Always pay attention towards disclosures made in the research reports before investing.
  • 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.
Don’ts
  • Do not provide funds for investment to the Research Analyst.
  • Don’t fall prey to luring advertisements or market rumours.
  • Do not get attracted to limited period discount or other incentive, gifts, etc. offered by Research Analyst.
  • Do not share login credentials and password of your trading and demat accounts with the Research Analyst.
Number of Complaints as on 11th February, 2025
No. of Complaints At the Beginning of Month Received During The Month
1 0 0
Pending at the end of the Month Reason for Pendency Total Complaint Resolved
0 - 1
Total Clients Served so far Total Complaint Received so far % of the complaints as per overall client base
100 1 1
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  • Disclaimer- “Investment in securities market are subject to market risks. Read all the related documents carefully before investing.” We are not responsible for your Profit and Loss. Past performance is no guarantee of future results. 
  • Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors. The investor is requested to take into consideration all the risk factors before
    actually trading in derivative contracts.
  • We and our associates, officers, directors, and employees, Research Analyst (including
    relatives) worldwide may:
    (a) from time to time, have long or short positions in, and buy or sell the securities thereof, of company(ies) forming part of the products or reports created by the company; or
    (b) may have other potential/material conflicts of interest with respect to any company(ies) in various products or reports created by the company. Any such positions of conflict of interest will be appropriately disclosed and dealt with in accordance with applicable law. [to be modified depending upon actual circumstances] The Company does not provide any promise or assurance of a favourable view for a particular industry or sector or business group in any manner. The investor is requested to take into consideration all the risk factors, including their financial condition, suitability to risk-return profile, and take professional advice before investing.
  • The analysts for various products or reports created by the company certify that all of the information/material therein accurately reflects his or her personal views about the subject company or companies and its or their securities, and no part of his or her compensation was, is, or will be, directly or indirectly related to company(ies) in various products or reports created by the company. No part of this material may be duplicated in any form and/or redistributed without the prior written consent of the Company.
  • If any person mislead you or guide you to deviate you from all these important points then call us immediately on +91-9352399098 or email us at vardhanharsh548@gmail.com
  • Our SEBI Registration number is: INH000011006.