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Investor Protection

Investor CharterFor Research Analysts & Research Entities

A

Vision & Mission

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 Details

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
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.
C

Services Provided

1

Onboarding & Documentation

  • Onboarding of Clients
  • Sharing of terms and conditions of research service
  • Completing KYC of fee paying clients
2

Disclosure & Transparency

  • Disclosure of material information for informed decision making
  • Disclosure of business activity and disciplinary history
  • Disclosure of the extent of use of Artificial Intelligence tools
  • Disclosure of third-party research provider conflicts
  • Disclosure of conflicts of interest between research and other activities
3

Service Standards

  • Distribution of research reports without discrimination
  • Maintaining confidentiality until reports are public
  • Respecting data privacy rights and protecting information
  • Adherence to disclosed service timelines
  • Providing clear guidance and caution notices for complex products
  • Treating all clients with honesty and integrity
  • Ensuring confidentiality of client information
D

Grievance Redressal Mechanism

Direct Complaint to Research Analyst

Investors may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.

SCORES 2.0 Portal

Web-based centralized grievance redressal system of SEBI for effective time-bound resolution.

https://scores.sebi.gov.in

RAASB Email

Direct email to designated email ID of Research Analyst Administration and Supervisory Body.

SMARTODR Platform

Online conciliation or arbitration for unresolved complaints.

Physical Complaints Address

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

Rights of Investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to Fair & True Advertisement
Right to Awareness about Service Parameters
Right to be Heard and Satisfactory Grievance Redressal
Right to have timely redressal
Right to Exit from Financial product or service
Right to receive clear guidance and caution notice
Additional Rights to vulnerable consumers
F

Expectations from Investors

Do's

Always deal with SEBI registered Research Analyst.
Ensure that the Research Analyst has a valid registration certificate.
Check for SEBI registration number.
Refer to the list of SEBI registered Research Analysts on SEBI website.
Pay attention towards disclosures made in the research reports before investing.
Pay your Research Analyst through banking channels only and maintain duly signed receipts.
Check for research recommendation before buying/selling securities.
Ask all relevant questions and clear your doubts before acting on recommendation.
Seek clarifications on complex and high risk financial products.
Be aware of your right to stop availing services as per terms.
Provide feedback to your Research Analyst on services received.
Do not be bound by clauses contravening regulatory provisions.
Inform SEBI about Research Analyst offering assured or guaranteed returns.

Don'ts

Do not provide funds for investment to the Research Analyst.
Don't fall prey to luring advertisements or market rumors.
Do not get attracted to limited period discount or other incentive, gifts, etc.
Do not share login credentials and password of your trading and demat accounts.

SEBI Compliance Notice

This Investor Charter is in compliance with SEBI regulations. Investors are advised to verify the registration status of the Research Analyst on SEBI's official website. Investment in securities market are subject to market risks. Please read all related documents carefully before investing.