Trading Acumen
Compliance

Investor Charter

A clear statement of our vision, the services we provide, and your rights and responsibilities as an investor.

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 (RA)

  • To provide research recommendations based on personal analysis.
  • To maintain professional integrity and fairness in dealings.
  • To disclose any interest or position that may create a conflict.
  • To provide services as per the agreed terms and applicable regulations.
C

Details of Services Provided to Investors (No Indicative Timelines)

Onboarding of Clients

  • Sharing of the Risk Disclosure Document with the client.
  • Obtaining client consent and completing the KYC process.
  • Collecting information about the client's risk profile and goals.

Disclosure to Clients

  • Disclosure of any actual or potential conflict of interest.
  • Disclosure of the RA's SEBI registration number and details.
  • Disclosure that past performance does not guarantee future results.

General Practices

  • Providing research recommendations with rationale and risk factors.
  • Maintaining records of advice given and communications sent.
  • Ensuring fair and transparent fee structures.
D

Details of Grievance Redressal Mechanism and How to Access It

1. Filing a Complaint with the Research Analyst

In case of any grievance or complaint, an investor 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.

2. Filing on SCORES or with RAASB

  • SCORES 2.0: A web-based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in a time-bound manner. scores.sebi.gov.in
  • Email to RAASB: Investors may also email the designated email ID of the Research Analyst Administration and Supervisory Body (RAASB).

3. SMARTODR Platform

If the investor is not satisfied with the resolution provided by the market participants, they may file the complaint on the SMARTODR platform for resolution through online conciliation or arbitration.

4. Physical Complaints

Investors may also send physical complaints in writing to the Research Analyst's registered office address.

E

Rights of Investors

  • Right to receive research recommendations with clear rationale.
  • Right to receive the Risk Disclosure Document before availing services.
  • Right to be treated fairly and with transparency.
  • Right to file complaints and have them redressed within the prescribed timeline.
  • Right to access all records and reports related to their account.
F

Expectations from Investors (Responsibilities)

Do's

Deal with SEBI-registered Research Analysts.
Ensure that the Research Analyst has a SEBI Registration Number.
Pay advisory fees through banking channels only.
Ask for the risk disclosure document.
Understand the recommended product and associated risks before investing.
Assess your risk-taking capacity before investing.
Cross-check recommendations with other sources before acting.
Monitor your investments regularly.

Don'ts

Do not deal with unregistered entities.
Do not pay fees in cash.
Do not expect guaranteed returns or profit promises.
Do not invest based on tips or rumours.
Do not invest without understanding the product and its risks.
Do not share personal or financial information with unverified parties.
Do not act on unsolicited communications.
Do not ignore the risk disclosure document.

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