A. Vision and Mission Statements for Investors

Vision: Invest with knowledge and safety.

Mission: Every investor should be empowered to invest in suitable investment products tailored to their needs, manage and monitor their investments to achieve their goals, access comprehensive reports, and attain financial wellness.

B. Details of Business Transacted by the Research Analyst with Respect to Investors

• Publish research reports based on the research activities conducted by the Research Analyst (RA).
• Provide an independent and unbiased perspective on securities.
• Offer impartial recommendations while disclosing any financial interests in the recommended securities.
• Base research recommendations on the analysis of publicly available information and known observations.
• Conduct an annual audit to ensure compliance and transparency.

C. Details of Services Provided to Investors (No Indicative Timelines)

• Onboarding of Clients: Facilitate the seamless onboarding process for new clients.
• Disclosure to Clients:
  • Distribute research reports and recommendations to clients without any discrimination.
  • Maintain confidentiality regarding the publication of the research report until it is made public.

D. Details of Grievance Redressal Mechanism and How to Access It

• In case of any grievance or complaint, investors should first approach the concerned Research Analyst. The grievance should be resolved within 30 days.
• If the complaint is not satisfactorily addressed, investors can lodge a complaint with SEBI through the SCORES portal, a centralised web-based complaint redressal system. SEBI will take up the complaints registered via SCORES with the concerned intermediary for timely resolution. The SCORES portal also facilitates tracking the status of the complaint.
• Physical complaints can be sent 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 – 400051.

E. Expectations from Investors (Responsibilities of Investors)

Do’s:

• Always engage with SEBI registered Research Analysts.
• Ensure the Research Analyst holds a valid registration certificate.
• Verify the SEBI registration number.
• Refer to the list of all SEBI registered Research Analysts available on the SEBI website.
• Pay attention to disclosures made in the research reports before investing.
• Make payments to your Research Analyst through banking channels only and retain duly signed receipts detailing your payments.
• Before purchasing securities or applying for public offers, review the research recommendations provided by your Research Analyst.
• Ask pertinent questions and clarify any doubts with your Research Analyst before acting on their recommendations.
• Report to SEBI if any Research Analyst offers assured or guaranteed returns.

Don’ts:

• Do not provide funds for investment to the Research Analyst.
• Avoid falling for enticing advertisements or market rumours.
• Do not be swayed by limited-period discounts or other incentives and gifts offered by the Research Analyst.
• Never share your trading and demat account login credentials and passwords with the Research Analyst.