• 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 With Respect to the Investors

• To publish research reports based on the research activities of the Research Analyst (RA)

• To provide an independent unbiased view on securities

• To offer unbiased recommendations, disclosing the financial interests in recommended securities

• To provide research recommendations, 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

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

• Onboarding of Clients

  • Sharing of terms and conditions of research services

  • Completing KYC of fee-paying clients

• Disclosure to Clients

  • To disclose information that is material for the client to make an informed decision, including details of business activity, disciplinary history, terms and conditions of research services, 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, while distributing a third-party research report, any material conflict of interest of such third-party research provider or provide web address that directs a recipient to the relevant disclosures

  • To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst

• To distribute research reports and recommendations to the clients without discrimination

• To maintain confidentiality with respect to publication of the research report until made available in the public domain

• To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information

• To disclose the timelines for the services provided by the research analyst to clients and ensure adherence to said timelines

• To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products/services

• To treat all clients with honesty and integrity

• To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information

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

Investor can lodge complaint/grievance against Research Analyst in the following ways:

• Approach the concerned Research Analyst directly for redressal, who shall strive to resolve the grievance, but not later than 21 days of receipt of the grievance.

• Lodge complaint via SCORES 2.0 (web-based centralized grievance redressal system of SEBI):

  • First review by designated body (RAASB)

  • Second review by SEBI

• Send complaint to designated email ID of RAASB

If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

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. Rights of Investors

• Right to receive information about all the statutory and regulatory disclosures

• Right to Fair & True Advertisement

• Right to Awareness about Service Parameters and Turnaround Times

• Right to be informed of the timelines for each service

• Right to get access to services in a suitable manner even if differently abled

• Right to provide feedback on the financial products and services used

• Right against coercive, unfair, and one-sided clauses in financial agreements

F. Expectations From the Investors (Responsibilities of Investors) Don’ts