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This website has been approved by BSEASL with advertisement approval number 15285
Registration granted by SEBI, membership of BSEASL and certification from National Institute of Securities Markets (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.
The securities quoted are for illustration only and are not recommendatory
Grievance Redressal Process
In case of any grievance / complaint:
Please contact Principal Officer at contact details mentioned here
If not satisfied with the response of the intermediary you can lodge your grievances with SEBI at https://scores.gov.in or you may also write to any of the offices of SEBI.
Or undertake online conciliation and/or online arbitration by participating in the ODR Portal (https://smartodr.in/login) and/or undertaking dispute resolution in the manner specified in SEBI Circular No. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131
SEBI Investor 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 Investment Adviser with respect to the investors.
To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information.
To do a proper and unbiased risk – profiling and suitability assessment of the client.
To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
To conduct audit annually.
To disclose the status of complaints in its website.
To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in its website.
To employ only qualified and certified employees.
To deal with clients only from official number.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.
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.
C. Details of services provided to investors (No Indicative Timelines)
Onboarding of Client
Sharing of agreement copy
Completing KYC of clients
Disclosure to Clients
To provide full disclosure about its business, affiliations, compensation in the agreement.
To not access client’s accounts or holdings for offering advice.
To disclose the risk profile to the client.
D. Details of grievance redressal and how to access it
In case of any grievance / complaint, an investor should approach the concerned Investment Adviser 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.
With regard to 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 (Responsibilities of investors)
Do’s
Always deal with SEBI registered Investment Advisers.
Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.
Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.
Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice.
Assess the risk–return profile of the investment as well as the liquidity and safety aspects before making investments.
Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with any Investment Adviser.
Be vigilant in your transactions.
Approach the appropriate authorities for redressal of your doubts / grievances.
Inform SEBI about Investment Advisers offering assured or guaranteed returns.
Don’ts
Don’t fall for stock tips offered under the pretext of investment advice.
Do not provide funds for investment to the Investment Adviser.
Don’t fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don’t let greed overcome rational investment decisions.
Don’t fall prey to luring advertisements or market rumours.
Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.
Don’t take decisions just because of repeated messages and calls by Investment Advisers.
Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers.
Don’t rush into making investments that do not match your risk taking appetite and investment goals.
Do not share login credential and password of your trading and demat accounts with the Investment Adviser.
