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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.
Details of Business Transacted by 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
- To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts
- To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place
Details of Services Provided to Investors
Onboarding of Clients
- Sharing of terms and conditions of research service
- Completing KYC of fee paying clients
Disclosure to Clients
- Material information for informed decision making
- Extent of use of Artificial Intelligence tools
- Third party research report conflicts
- Conflicts of interest in research activities
Client Services
- Distribute research reports without discrimination
- Maintain confidentiality of research reports
- Respect data privacy rights
- Provide clear guidance for complex products
- Treat all clients with honesty and integrity
Grievance Redressal Mechanism
How to File Complaints
- Direct Approach: Contact the Research Analyst directly - grievance will be addressed within 21 days
- SCORES 2.0: Web-based centralized grievance system (https://scores.sebi.gov.in)
- Two-level Review: First by RAASB, Second by SEBI
- SMARTODR Platform: For online conciliation or arbitration
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
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 Fair & True Advertisement
Right to Service Parameters Awareness
Right to Timely Service Information
Right to be Heard and Grievance Redressal
Right to Timely Resolution
Right to Exit from Services
Right to Clear Guidance on High-Risk Products
Additional Rights for Vulnerable Consumers
Right to Provide Feedback
Right Against Coercive Clauses
Expectations from Investors
DO'S
Always deal with SEBI registered Research Analyst
Ensure valid registration certificate
Check SEBI registration number
Refer to SEBI's list of registered analysts
Pay attention to research report disclosures
Pay through banking channels only
Check research recommendations before trading
Ask relevant questions and clear doubts
Seek clarifications on complex products
Be aware of your right to stop services
Provide feedback on services received
Report analysts offering guaranteed returns
DON'TS
Don't provide funds for investment to Research Analyst
Don't fall prey to luring advertisements
Don't get attracted to limited period discounts
Don't share login credentials with Research Analyst