Investor Charter
Investor Charter
Investor Charter in respect of Research Analyst.
⇒ 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.
⇒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.
⇒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.
⇒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.
⇒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.
⇒ lease 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
⇒ 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.
⇒Dont’s