Investor Charter - complaint table in Respect to RA
Investment Charter
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
- 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.
C) Details of Services Provided to Investors (No Indicative Timelines)
- Onboarding of Clients
- Disclosure to Clients.
- To distribute research reports and recommendations to clients without discrimination.
- To maintain confidentiality regarding the publication of the research report until made available in the public domain.
D) Details of Grievance Redressal Mechanism
In case of any grievance/complaint, an investor should approach the concerned research analyst and shall ensure that the grievance is resolved within 30 days.
If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s SCORES portal, which is a centralized web-based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.
For physical complaints, investors may send their complaints 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 - 400 051.
E) Expectations from the Investors
Do’s
- Always deal with SEBI registered Research Analyst.
- Check for SEBI registration number.
- Ensure that the Research Analyst has a valid registration certificate.
- Please refer to the list of all SEBI registered Research Analysts available on the SEBI website. <<website link- https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14>>
- Always pay attention to disclosures made in the research reports before investing.
- Pay your Research Analyst through banking channels only and maintain duly signed receipts.
- Before buying securities or applying in public offers, check for the research recommendation provided by your Research Analyst.
- Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
- 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 rumours.
- Do not get attracted to limited period discounts or other incentives, gifts, etc. offered by Research Analyst.
- Do not share login credentials and password of your trading and demat accounts with the Research Analyst.
Complaint Redressal and SCORES Process
- Client’s queries/complaints may arise due to lack of understanding or a deficiency of service experienced by clients. Deficiency of service may include lack of explanation, clarifications, understanding which escalates into shortfalls in the expected delivery standards.
- Clients can seek clarification to their query and are further entitled to make a complaint in writing, orally, or telephonically. An investor may email on bindul.shah@yahoo.com or call on 9033001944
- A letter may also be written with their query/complaint and posted to:
Bindul N Shah
16/A, Chintamani soc, Ram-nagar, Sabarmati, Ahmedabad-380005
- In case you are not satisfied with our response, you can lodge your grievance with SEBI at https://scores.sebi.gov.in/ or you may also write to any of the offices of SEBI. SCORES may be accessed through the SCORES mobile application as well, which can be downloaded from here.
- Filing of complaints on SCORES – Easy & quick
a. Register on SCORES portal
b. Mandatory details for filing complaints on SCORES: Name, PAN, Address, Mobile Number, Email ID
c. Benefits
1. Effective communication
2. Speedy redressal of the grievances SCORES
Complaints Data
- Data for the month ending – May 2025
|
Sr. No. |
Received From |
Pending at the end of Last Month |
Received |
Resolved* |
Total Pending# |
Pending complaints Greater than 3 months |
Average Resolution time (in days) |
|
1 |
Directly from Investors |
0 |
0 |
0 |
0 |
0 |
0 |
|
2 |
SEBI (SCORES) |
0 |
0 |
0 |
0 |
0 |
0 |
|
3 |
Other Sources |
0 |
0 |
0 |
0 |
0 |
0 |
- Trend of Monthly Disposal of Complaints
|
Sr. No. |
Month |
Carried forward from previous month |
Received |
Resolved* |
Pending# |
|
1 |
Dec 2025 |
0 |
0 |
0 |
0 |
|
2 |
Nov 2025 |
0 |
0 |
0 |
0 |
|
3 |
Oct 2025 |
0 |
0 |
0 |
0 |
|
4 |
Sept 2025 |
0 |
0 |
0 |
0 |
|
5 |
August 2025 |
0 |
0 |
0 |
0 |
|
6 |
July 2025 |
0 |
0 |
0 |
0 |
|
7 |
June 2025 |
0 |
0 |
0 |
0 |
|
8 |
May 2025 |
0 |
0 |
0 |
0 |
|
9 |
April 2025 |
0 |
0 |
0 |
0 |
|
10 |
March 2025 |
0 |
0 |
0 |
0 |
|
11 |
Feb 2025 |
0 |
0 |
0 |
0 |
|
12 |
January 2025 |
0 |
0 |
0 |
0 |
- Trend of Annual Disposal of Complaints
|
Sr. No. |
Year |
Carried forward from previous years |
Received |
Resolved* |
Pending# |
|
1 |
2024-2025 |
0 |
0 |
0 |
0 |
|
2 |
2023-2024 |
0 |
0 |
0 |
0 |