Investor Charter

INVESTOR CHARTER IN RESPECT OF RAs

1. Vision and Mission Statements for Investors

Vision

Invest with knowledge and 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 research reports, and achieve financial well-being.

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

To publish research reports based on research activities of the Research Analyst.
To provide an independent and unbiased view on securities.
To offer unbiased recommendations with disclosure of financial interests in recommended securities.
To provide research recommendations based on analysis of publicly available information and known observations.
To conduct audits annually as required.
To ensure that all advertisements adhere to the Advertisement Code for Research Analysts.
To maintain records of interactions with all clients, including prospective clients, where any conversation related to research services has taken place.

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

Onboarding of Clients

Sharing terms and conditions of research services.
Completing KYC of fee-paying clients.

Disclosure to Clients

To disclose material information required for informed decision-making, including:

Business activity
Disciplinary history
Terms and conditions
Details of associates
Risks and conflicts of interest, if any

To disclose the extent of use of Artificial Intelligence tools in providing research services.
To disclose any material conflict of interest in third-party research reports or provide a web link to disclosures.
To disclose conflicts between research services and other activities of the Research Analyst.
To distribute research reports and recommendations impartially and without discrimination.
To maintain confidentiality until research is made public.
To protect client data and privacy.
To disclose service timelines and adhere to the same.
To provide clear guidance and caution on complex and high-risk products.
To treat clients with honesty and integrity.
To keep client information confidential unless disclosure is required by law or with client consent.

4. Grievance Redressal Mechanism and How to Access It

1. Complaints may be lodged with the Research Analyst through:

Direct Communication:

The Research Analyst shall resolve the complaint within 21 days of receipt.

2. Complaints can also be filed through:

SCORES Platform:

https://scores.sebi.gov.in

RAASB (Research Analyst Administration and Supervisory Body)

via designated email ID.

3. Two-Level Review Process:

First review by RAASB
Second review by SEBI

4. SMARTODR Platform:

If not satisfied, investors may use SMARTODR for online conciliation or arbitration.

5. 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

5. 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 receive statutory and regulatory information
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of service timelines
Right to be Heard and for Satisfactory Grievance Redressal
Right to Timely Redressal
Right to Exit financial products/services per agreed terms
Right to Clear Guidance on High-Risk Products
Additional rights for vulnerable consumers
Right to accessible services for differently abled individuals
Right to provide feedback
Right against coercive, unfair, or one-sided clauses

6. Expectations from Investors (Responsibilities of Investors)

Do’s

Always deal with registered Research Analysts.
Ensure the Research Analyst has valid registration.
Verify registration at: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
Read and understand disclosures in research reports.
Pay fees only through banking channels and maintain receipts.
CeFCoM may be used if available.
Check research recommendations before buying or selling securities.
Ask questions before acting on recommendations.
Seek clarification for complex or high-risk products.
Be aware of your right to stop services as per agreed terms.
Provide feedback on services.
Report assured or guaranteed return claims.

Don’ts

Do not give funds to the Research Analyst for investment.
Do not fall for misleading advertisements or rumors.
Do not be influenced by discounts, gifts, or incentives.
Do not share trading, demat, or bank login credentials with anyone.

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Contact Details

Connect With Us

Compliance officer: Tapas Chandra Baskey. Telephone number: +91 9632318551. E-mail address: tapaschandraofficial@gmail.com.

Registration granted by SEBI, membership of BSE and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.

Investment in securities market are subject to market risks. Read all the related documents carefully before investing.