📃Investor Charter
Investor Charter in respect of Research Analyst (RA) as per SEBI
A. Vision and Mission Statements for Investors.
Vision
Invest with knowledge & safety.
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.
To publish research report based on the research activities of the RA.
To provide an independent unbiased view on securities.
To offer unbiased recommendation, disclosing the financial interests in
recommended securities.
To provide research recommendation, based on analysis of publicly
available information and known observations.
To conduct audit annually.
C. Details of services provided to investors (No Indicative Timelines)
Onboarding of Clients.
Disclosure to Clients o 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 - 400 051.
E. Expectations from the investors (Responsibilities of investors).
Do’s
I. Always deal with SEBI registered Research Analyst.
II. Ensure the Research Analyst has a valid registration certificate.
III. Check for SEBI registration number.
IV. Refer to the list of all SEBI registered Research Analysts available on the SEBI website at the following link: SEBI Registered Research Analyst list
V. Pay attention to disclosures in research reports before investing.
VI. Pay your Research Analyst through banking channels only and keep duly signed receipts with payment details.
VII. Before buying securities or applying in a public offer, review the research recommendation from your Research Analyst.
VIII. Ask relevant questions and clarify doubts with your Research Analyst before acting on the recommendation.
IX. Inform SEBI about Research Analysts 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 rumours.
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.
Anand Ganapathy K SEBI Registered Research Analyst SEBI #: INH000016630
Disclaimer: SEBI registration does not ensure performance or guarantee returns to investors. Securities market investments carry market risks. Kindly review all relevant documents before investing.
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