Investor Charter

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 the 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

• To publish a research report based on the research activities of the RA.
• To provide an independent unbiased view on securities.
• To offer unbiased recommendations, disclosing any financial interests in recommended securities.
• To provide research recommendations based on analysis of publicly available information and known observations.
• To conduct compliance audits annually.

C. Details of Services Provided to Investors

• Onboarding of Clients.
• Disclosure of conflicts of interest 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 - 400 051.

E. Expectations from the Investors (Responsibilities of Investors)

Do's:

• Always deal with SEBI-registered Research Analysts.
• Ensure that the Research Analyst has a valid registration certificate.
• Check for SEBI registration number (e.g. INH000016153).
• Refer to the list of all SEBI-registered Research Analysts available on SEBI website (www.sebi.gov.in).
• Always pay attention towards disclosures made in the research reports before investing.
• Pay your Research Analyst through banking channels only and maintain signed receipts.
• Before buying securities, check the research recommendation provided by your research Analyst.
• Ask all relevant questions and clear your doubts before acting on any recommendation.
• Inform SEBI about Research Analysts offering assured or guaranteed returns.

Don'ts:

• Do not provide investment funds directly to the Research Analyst.
• Don’t fall prey to luring advertisements or market rumors.
• Do not get attracted to limited-period discounts, incentives, or gifts offered by Research Analysts.
• Do not share login credentials and password of your trading/demat accounts with the Research Analyst.