Investor Charter
Strategic Direction
Vision and Mission Statements for investors
Vision
Invest with knowledge and safety to secure your financial future. Make informed decisions, minimize risks, and grow your wealth confidently with expert guidance and smart strategies.
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.
Business Details
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
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.
Onboarding Process
Details of services provided to investors (No Indicative Timelines) Onboarding of Clients
A. Sharing of terms & conditions of research services
B. Completing KYC of fee paying clients
What We Commit To
Disclosure to Clients
Grievance Support
Details of grievance redressal mechanism and how to access it
Investor can lodge complaint/grievance against Research Analyst in the following ways:
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.
File complaints through the SEBI SCORES grievance portal or escalate unresolved disputes via the SMART ODR online dispute resolution platform.
Mode of filing the complaint on SCORES or with Research Analyst
Administration and Supervisory Body (RAASB)
SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner)
Two level review for complaint/grievance against Research Analyst: i) First review done by designated body (RAASB) ii) Second review done by SEBI
Email to designated email ID of RAASB
If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMART ODR platform for its resolution through online conciliation or arbitration.
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
Investor Protection
Rights of Investors
Each right is backed by our SEBI-compliant processes to keep your trading journey transparent, fair, and secure.
Right
Investor Protection
Right to Privacy and Confidentiality
Right
Investor Protection
Right to Transparent Practices
Right
Investor Protection
Right to fair and Equitable Treatment
Right
Investor Protection
Right to Adequate Information
Right
Investor Protection
Right to Initial and Continuing Disclosure
Right
Investor Protection
Right to receive information about all the statutory and regulatory disclosures
Right
Investor Protection
Right to Fair & True Advertisement
Right
Investor Protection
Right to Awareness about Service Parameters and Turnaround Times
Right
Investor Protection
Right to be informed of the timelines for each service
Right
Investor Protection
Right to be Heard and Satisfactory Grievance Redressal
Right
Investor Protection
Right to Exit from Financial product or service in accordance with the terms and conditions agreed with the research analyst
Right
Investor Protection
Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services
Right
Investor Protection
Additional Rights to vulnerable consumers
Right
Investor Protection
Right to get access to services in a suitable manner even if differently abled
Right
Investor Protection
Right to provide feedback on the financial products and services used
Right
Investor Protection
Right against coercive, unfair, and one-sided clauses in financial agreements
Do's for an Investor
- Always deal with SEBI registered Research Analyst.
- Ensure that the Research Analyst has a valid registration certificate.
- Check for SEBI registration number.
- 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. You may make payment of fees through Centralized Fee Collection Mechanism (CeFCoM) of RAASB if research analyst has opted for the mechanism. (Applicable for fee paying clients only)
- Before buying/ selling 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 recommendation.
- Seek clarifications and guidance on research recommendations from your Research Analyst, especially if it involves complex and high risk financial products and services.
- Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed between you and your Research Analyst.
- Always be aware that you have the right to provide feedback to your Research Analyst in respect of the services received.
- Always be aware that you will not be bound by any clause, prescribed by the research analyst, which is contravening any regulatory provisions.
- Inform SEBI about Research Analyst offering assured or guaranteed returns.
Don'ts for an Investor
Do not provide funds for investment to the Research Analyst.
Don't fall prey to luring advertisements or market rumors.
Do not get attracted to limited period discounts, incentives, gifts, etc. offered by Research Analyst.
Do not share login credentials and password of your trading, demat or bank accounts with the Research Analyst.