Investor Charter in respect of Research Analyst (RA)

Annexure – A

A. Vision and Mission Statements for Investors

V – Vision 

M – Mission

To ensure that every investor is equipped to select appropriate investment products tailored to their individual needs, effectively manage and monitor these investments to achieve their objectives, access comprehensive reports, and ultimately attain financial wellness.

B. Details of Business Transacted by the Research Analyst to Investors 

• To publish research reports derived from the research activities conducted by research analysts
• To provide an independent and unbiased perspective on securities
• To offer impartial recommendations while disclosing any financial interests in the recommended securities
• To deliver research recommendations based on a thorough analysis of publicly available information and established observations.
• To conduct an annual audit

• Onboarding of clients
• Disclosure to clients
• To distribute research reports and recommendations to clients without discrimination
• To maintain confidentiality.

C. Details of grievance redressal mechanism and how to access it

In case of any grievance/complaint, an investor should approach the concerned research analyst at grievancesandqueries@gmail.com 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.

​Concerning physical complaints, investors may send their complaints to the Office of Investor Assistance and Education, Securities and SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E),

D. Expectations from the investors (responsibilities)

Do’s

• Always deal with a SEBI-registered research analyst. 
• Ensure that the research analyst has a valid registration certificate. 
• Check for the SEBI registration number. 
• Please refer to the list of all  SEBI-registered research analysts, which is available on the SEBI website at the following link.(https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14)
• Always pay attention to 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 for the 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 the research analyst offering assured or guaranteed returns. 

​​​Don’ts

• Do not provide funds for investment to the research analyst. 
• Don’t fall prey to luring advertisements or market rumors.
• Do not get attracted to limited-period discounts or other incentives, gifts, etc., offered by the research analyst.
• Do not share the login credentials and password of your trading and demat accounts with the research analyst. ​