Investor Charter in Respect of Research Analyst

A. Vision and Mission Statement for Investors

Vision: To provide investors with accurate, unbiased, and timely investment advice to help them make informed decisions.

Mission: To empower investors by offering personalized investment advice based on their risk profile and financial goals.

B. Details of Business Transacted by the Analyst With Respect to the Investors

• Enter into an agreement with the client that includes all details, including fee information.
• Disclose any conflicts of interest and maintain confidentiality of client information.
• Conduct a thorough and unbiased risk profiling and suitability assessment for each client.
• Register with the Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
• Conduct an annual audit.
• Publish complaint status on the firm's website.
• Display the firm's name, proprietor name, registration type and number, validity, full address, phone numbers, and SEBI regional/local office details on the firm’s website.
• Hire only qualified and certified employees.
• Engage clients exclusively through official contact numbers.
• Maintain records of all interactions, including with prospective clients, where advice-related conversations take place (prior to onboarding).

C. Details of Services Provided to Investors Without Indicative Timelines

• Onboarding of Clients:

  • Provide a client with a copy of the client agreement.
  • Completing KYC of the client.

• Disclosure to Clients:

  • Provide full disclosure about the firm's business, affiliations, and compensation in the client agreement.
  • Refrain from accessing client accounts or holdings for offering advice.
  • Disclose the client's risk profile to them transparently.

• To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.

D. Details of Grievance Redressal Mechanism and its Access

• In case of any grievance or complaint, investors should approach the Analyst and expect resolution within 30 days.
• If the complaint is not resolved satisfactorily, it may be lodged with SEBI through SEBI's SCORES portal, a centralized, web-based complaint redressal system.
• SCORES allows tracking of complaint status as SEBI coordinates with the intermediary for timely redressal.
• For physical complaints, investors may send them to: Office of Investor Assistance and Education, SEBI Bhavan, Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051.
• SCORES portal – https://scores.sebi.gov.in/
• ODR portal – https://smartodr.in/login