Investor Charter & Complaints
- Vision and Mission Statements
- Vision: Invest with knowledge & safety.
- Mission: Every investor should be able to invest in the 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
- Publish research reports based on research activities.
- Provide independent, unbiased views on securities.
- Offer unbiased recommendations, disclosing financial interests in recommended securities.
- Provide research recommendations based on analysis of publicly available information and known observations.
- Conduct annual audits.
- Services Provided to Investors
- Onboarding of clients.
- Disclosure to clients:
- Distribute research reports and recommendations without discrimination.
- Maintain confidentiality regarding publication of research reports until made public.
- Grievance Redressal Mechanism
- Approach the concerned Research Analyst for grievances.
- Ensure resolution within 30 days.
- Lodge complaints with SEI’s SCORES portal or send 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 Investors
- Do’s :
- Deal only with SEBI-registered Research Analysts.
- Check registration certificate and SEBI registration number.
- Refer to the list of SEBI-registered Research Analysts on the SEBI website https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
- Pay attention to disclosures in research reports.
- Pay Research Analysts through banking channels only.
- Check research recommendations before investing.
- Ask questions and clear doubts with the Research Analyst.
- Inform SEBI about Research Analysts offering assured returns.
- Don’ts:
- Provide funds for investment to the Research Analyst.
- Fall prey to advertisements or market rumors.
- Get attracted to limited-period discounts or incentives.
- Share login credentials and passwords with the Research Analyst.
- Number of complaints as on 23 March 2025
|
Received From
|
Pending at the end of last month
|
Received
|
Resolved
|
Total Pending
|
Pending Complaints >3 Months
|
Average Resolution Time( in days)
|
|---|---|---|---|---|---|---|
|
Investor
|
0
|
0
|
0
|
0
|
0
|
0
|
|
SEBI
|
2
|
0
|
2
|
0
|
0
|
39
|
|
Other Source
|
0
|
0
|
0
|
0
|
0
|
|
|
Grant Total
|
2
|
0
|
2
|
0
|
0
|
39
|
*Average Resolution time is the sum total of time taken to resolve each complaints in days, in the current month divided by total number of complaints resolved in current month
- Month wise complaints for year 2024-2025
|
Month
|
Carried Forward from Previous Month
|
Received
|
Resolved
|
Pending
|
|---|---|---|---|---|
|
March 2025
|
0
|
0
|
0
|
0
|
|
February 2025
|
0
|
1
|
1
|
0
|
|
January 2025
|
0
|
1
|
1
|
0
|
|
December 2024
|
1
|
0
|
1
|
0
|
|
November 2024
|
1
|
0
|
0
|
1
|
|
October 2024
|
1
|
0
|
0
|
1
|
|
September 2024
|
2
|
0
|
1
|
1
|
|
August 2024
|
0
|
2
|
0
|
2
|
|
July 2024
|
0
|
0
|
0
|
0
|
|
June 2024
|
0
|
0
|
0
|
0
|
|
May 2024
|
2
|
0
|
2
|
0
|
|
April 2024
|
0
|
2
|
0
|
2
|
|
Grand Total
|
0
|
6
|
6
|
0
|
- Trend of Annual disposal of complaints
|
Year
|
Carried Forward from Previous Month
|
Received
|
Resolved
|
Pending
|
|---|---|---|---|---|
|
2019-20
|
0
|
0
|
0
|
0
|
|
2020-21
|
0
|
0
|
0
|
0
|
|
2021-22
|
0
|
4
|
4
|
0
|
|
2022-23
|
0
|
1
|
1
|
0
|
|
2024-25
|
0
|
6
|
6
|
0
|
|
Grand Total
|
0
|
11
|
11
|
0
|