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Investor Charter

Effective date: 1 January 2021

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 as Research Analyst (No Indicative Timelines)

•        Onboarding of Clients.

•        Disclosure to Clients

o            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/investment advisor 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 for Research Analysts (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:

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.

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