A. Vision
and Mission Statements for investors.
Ø
Vision
Invest with knowledge & safety.
Ø
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.
B. Details
of business transacted by the Research Analyst with respect to the investors.
Ø To publish research report
based on the research activities of the RA.
Ø To provide an independent unbiased
view on securities.
Ø To offer unbiased
recommendation, disclosing the financial interests in recommended securities.
Ø To provide research
recommendation, based on analysis of publicly available information and known
observations.
Ø To conduct audit annually.
C. Details
of services provided to investors (No Indicative Timelines)
Ø Onboarding of Clients.
Ø 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.
D. 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 - 400051.
E. Expectations
from the investors (Responsibilities of investors).
Do’s
i. Always deal with SEBI registered
Research Analyst.
ii. Ensure that the Research Analyst has a
valid registration certificate.
iii. Check for SEBI registration number.
iv. Please
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?doRecognised
pi=yes&intmId=14)
v. Always pay attention towards disclosures
made in the research reports before investing.
vi. Pay your Research Analyst through banking
channels only and maintain duly signed receipts mentioning the details of your
payments.
vii. Before buying securities or applying in
public offer, check for the research recommendation provided by your research
Analyst.
viii. Ask all relevant questions and clear your
doubts with your Research Analyst before acting on the recommendation.
ix. Inform SEBI about Research Analyst
offering assured or guaranteed returns.
Don’ts
i. Do not provide funds for investment to the Research Analyst.
ii. Don’t fall prey to luring advertisements or market rumors.
iii. Do not get
attracted to limited period discount or other incentive, gifts, etc. offered by
Research Analyst.
iv. Do not share
login credentials and password of your trading and demat accounts with the
Research Analyst.
