Investor Charter

A. Vision and Mission for Investors

Vision: Investing with informed decisions and security.
Mission: Enabling investors to make well-informed investment choices that align with their financial objectives, effectively manage their portfolios, access detailed reports, and work towards achieving financial prosperity.

B. Business Activities of the Research Analyst

  • Providing detailed research reports based on thorough analysis and investigation.
  • Offering objective and impartial insights on various securities.
  • Giving clear recommendations with full transparency regarding any financial interests in the securities recommended.
  • Delivering research insights sourced from publicly available data and reliable market observations.
  • Conducting yearly audits to ensure the reliability and precision of research and recommendations.

C. Services to Investors (No Timely Guarantees)

  • Assisting clients during the onboarding phase.
  • Distributing impartial research reports and investment advice to all clients.
  • Maintaining strict confidentiality regarding reports until they are publicly released.

D. Grievance Resolution Process and Support

  • If an investor has a complaint, they should first approach the assigned research analyst for resolution within 30 days.
  • If the matter is not resolved satisfactorily, the investor can escalate the complaint to SEBI using the SCORES portal, which is an online platform for efficient grievance handling. SEBI will communicate with the relevant intermediary to facilitate timely resolution. Investors can also submit a physical complaint to the SEBI Office for Investor Assistance and Education in Mumbai.

E. Expectations from Investors (Responsibilities)

Do’s:

  • Verify that you’re engaging with SEBI-registered Research Analysts.
  • Confirm the Research Analyst’s registration by checking their SEBI certificate and registration number.
  • Access the list of registered Research Analysts on SEBI’s website:
    SEBI Registered Research Analysts
  • Pay attention to all disclosures made in research reports before making any investment decisions.
  • Make payments through secure banking methods and ensure to obtain a receipt signed by the Research Analyst.
  • Validate the research recommendations before acting upon them.
  • Clarify any uncertainties and ask pertinent questions to understand the recommendations better.
  • Report any Research Analysts guaranteeing returns to SEBI.

Don’ts:

  • Never send funds directly to the Research Analyst for investment purposes.
  • Avoid being influenced by flashy advertisements or misleading rumors.
  • Refrain from acting on time-limited offers or discounts from Research Analysts.
  • Do not share your trading or demat account login details or passwords with the Research Analyst.