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Investor Charter in respect of Research Analyst (RA)

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

  • 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
  • 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. Grievance Redressal Mechanism

How to lodge a complaint:

  • Investor may approach the Research Analyst directly. The grievance should be resolved within 21 days of receipt.
  • Use SCORES 2.0 – SEBI’s centralized grievance redressal system.
  • Two-level review: First by RAASB, then by SEBI.
  • Email complaints to RAASB’s designated email ID.
  • For physical complaints:
    Securities and Exchange Board of India
    SEBI Bhawan, Plot No.C4-A, ‘G’ Block,
    Bandra Kurla Complex, Bandra (E), Mumbai - 400 051.
  • If not satisfied, investors may escalate to the SMARTODR platform for online conciliation/arbitration.

E. Expectations from the Investors

Do’s

  • Always deal with SEBI registered Research Analyst.
  • Ensure valid SEBI registration certificate.
  • Check SEBI registration number.
  • Refer to the list of SEBI registered RAs: SEBI List
  • Read disclosures in research reports.
  • Pay through banking channels with receipts.
  • Verify recommendations before investing or applying in public offers.
  • Ask questions and clarify doubts before acting.
  • Report RAs promising assured or guaranteed returns.

Don’ts

  • Do not provide investment funds to the Research Analyst.
  • Avoid falling for misleading ads or rumors.
  • Ignore limited-period offers or gifts.
  • Never share login credentials of trading/demat accounts.