Investor Charter (Research Analyst)

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. Business Transacted by the Research Analyst

• Publish research reports based on research activities of the Research Analyst.
• Provide an independent and unbiased view on securities.
• Offer recommendations while disclosing any financial interest in recommended securities.
• Provide research recommendations based on publicly available information and analysis.
• Conduct annual audits.
• Ensure compliance of advertisements with the Advertisement Code for Research Analysts.
• Maintain records of client interactions, including prospective clients.

C. Details of Services Provided to Investors

• Sharing terms & conditions of research services and completing KYC (for fee-paying clients).
• Disclosing all material information, risks, conflicts of interest, business activities and disciplinary history.
• Distributing research reports and recommendations without discrimination.
• Maintaining confidentiality until research is made public.
• Protecting clients’ personal and confidential data.
• Providing cautionary guidance when recommending high-risk or complex instruments.
• Ensuring timelines for services are communicated and followed.

D. Grievance Redressal & Escalation Mechanism

If you have a grievance, you may first contact the Research Analyst. The grievance shall be addressed within 21 working days.

• SCORES Portal (SEBI online grievance system): https://scores.sebi.gov.in
• SMART ODR (For Online Dispute Resolution): https://smartodr.in
• RAASB (Supervisory Body): Complaints reviewed first by RAASB, then SEBI if unresolved.

Physical Complaint Address:
Office of Investor Assistance and Education,
SEBI Bhavan, Plot No. C4-A, G Block,
Bandra-Kurla Complex, Bandra (E), Mumbai - 400051

E. Rights of Investors

• Right to Privacy and Confidentiality.
• Right to Transparent & Fair Practices.
• Right to Adequate and True Information.
• Right to Grievance Redressal within stipulated timelines.
• Right to exit services as per agreed terms.
• Right to caution notices on high-risk recommendations.
• Right to provide feedback.

F. Responsibilities of Investors

Do's:

• Deal only with SEBI registered Research Analysts.
• Check SEBI registration number before engaging.
• Make payments only through banking channels and keep receipts.
• Read disclosures before acting on recommendations.
• Ask questions and seek clarity when in doubt.
• Report any misleading or guaranteed return claims to SEBI.

Don'ts:

• Do not hand over funds for investment to the Research Analyst.
• Do not fall for promises of assured profits or limited-time offers.
• Do not share your trading or banking login credentials.