Investor Charter in respect of Research Analyst (RA)

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.

• Publish research reports based on research activities.
• Provide independent and unbiased views on securities.
• Offer recommendations with proper disclosure of financial interests.
• Provide recommendations based on publicly available information.
• Conduct annual audit.
• Ensure all advertisements follow the SEBI Advertisement Code.
• Maintain records of all client interactions, including prospective clients.

Onboarding of Clients

• Sharing Terms & Conditions of research services.
• Completing KYC of fee-paying clients.

Disclosure to Clients

• Provide all material information for informed decisions.
• Disclose use of AI tools (if any).
• Disclose conflicts of interest.
• Ensure fair distribution of research reports.
• Maintain confidentiality before public release.
• Protect client data and privacy.
• Provide timelines for services.
• Give proper caution for high-risk products.
• Treat all clients with honesty and integrity.

1. Complaint Filing:

Investors can approach the Research Analyst directly. Complaints will be resolved within 21 days.

2. SEBI SCORES Platform:

Access SEBI SCORES Complaint Portal

• First review by RAASB.
• Second review by SEBI.

3. SMART ODR Platform:

Access SMART ODR – Online Dispute Resolution Portal

SEBI Office Address:
SEBI Bhavan, C4-A, G Block,
Bandra Kurla Complex,
Mumbai – 400051

• Right to Privacy & Confidentiality.
• Right to Transparent Practices.
• Right to Fair Treatment.
• Right to Adequate Information.
• Right to Disclosure.
• Right to Fair Advertisement.
• Right to Timely Grievance Redressal.
• Right to Exit Services.
• Right to Risk Awareness.
• Right to Differently-Abled Access.
• Right to Provide Feedback.
• Right Against Unfair Agreements.

Do's

• Deal only with SEBI-registered Research Analysts.
• Verify the SEBI registration number.
• Check disclosures before investing.
• Pay through banking channels only.
• Ask questions before acting on advice.
• Understand risks in high-risk products.
• Exercise your right to stop services at any time.
• Report guaranteed return schemes to SEBI.

Don'ts

• Do not give funds to the Research Analyst.
• Do not trust rumours or misleading advertisements.
• Avoid attractive but risky offers.
• Do not share your trading or banking login credentials.