Investor Charter

Investor Charter for Research Analysts (RA)

A. Vision and Mission Statements for investors

Vision

Empower investors with knowledge and security for confident investment decisions.

Mission

Our mission is to enable every investor to make informed investment choices that align with their goals, manage their investments effectively, and access comprehensive reports to ensure financial wellness.

B. Business Transactions with Investors

• Research Reporting: Publish detailed research reports based on thorough analysis by the Research Analyst (RA).
• Unbiased Recommendations: Provide impartial recommendations on securities while disclosing any financial interests in the recommended assets.
• Independent Analysis: Offer research insights based solely on publicly available information and established observations.
• Annual Audits: Conduct regular audits to maintain transparency and accuracy.

C. Services Provided to Investors

• Client Onboarding: Facilitate the onboarding process for new clients.
• Disclosure: Ensure full disclosure of relevant information to clients.
• Research Distribution: Distribute research reports and recommendations to clients equitably.
• Confidentiality: Maintain confidentiality of research reports until they are publicly accessible.

D. Grievance Redressal Mechanism

• Initial Steps: For any grievance or complaint, contact the concerned research analyst directly to seek resolution within 30 days.
• SEBI Complaints: If unresolved, lodge a complaint with SEBI via the SCORES portal. SEBI will address complaints and facilitate tracking.
• Physical Complaints: For physical complaints, send them 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. Investor Responsibilities

Do's

1. Verify Registration: Engage only with SEBI-registered Research Analysts.

2. Check Credentials: Confirm the Research Analyst holds a valid registration certificate.

3. Consult SEBI List: Refer to the SEBI website for a list of registered Research Analysts: SEBI Registered Analysts List.

4. Review Disclosures: Pay attention to disclosures in research reports before making investment decisions.

5. Secure Payments: Make payments through banking channels only and keep signed receipts.

6. Validate Recommendations: Verify research recommendations before investing in securities or public offers.

7. Ask Questions: Clarify all doubts with your Research Analyst before acting on any recommendations.

8. Report Misconduct: Inform SEBI about any Research Analyst offering guaranteed returns.

Don'ts

1. Avoid Direct Funds: Do not provide funds directly to the Research Analyst for investment purposes.

2. Beware of Advertisements: Avoid being misled by enticing advertisements or market rumors.

3. Reject Incentives: Do not be swayed by limited-time offers or incentives from Research Analysts.

4. Protect Credentials: Never share login credentials or passwords for trading or demat accounts with the Research Analyst.

Complaint Data Disclosure

Formats for investors complaints data to be disclosed monthly by RAs on their website/mobile application:

Data for the Month of June'2024

Average Resolution Time is calculated by summing the days taken to resolve each complaint and dividing by the number of complaints resolved.