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Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications - SEBI - SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0686

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..... gistered Investment Advisers are advised to bring to the notice of their clients the Investor Charter as provided at Annexure- A by prominently displaying on their websites and mobile applications. Investment Advisers not having websites/mobile applications shall, as a one-time measure, send Investor Charter to the investors on their registered e-mail address. 3. Further, SEBI issued Circular No. SEBI/HO/IMD/DF1/CIR/P/2019/169 dated December 27, 2019 which inter alia at Para 1 (iv) prescribed display of complaints status by Investment Advisers (IAs) on respective websites/mobile application. In order to further enhance transparency in grievance redressal, the Investment Advisers shall disclose the details of investor complaints by 7th of th .....

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Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications - SEBI

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..... st 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 regis .....

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Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications - SEBI

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..... 3. 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 i. Always deal with SEBI registered Investment Advisers. ii. Ensure that the Investment Adviser has a valid registration certificate. iii. Check for SEBI registration number. Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13) iv. Pay only adv .....

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Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications - SEBI

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..... rs. xvi. Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives. xvii. Don’t take decisions just because of repeated messages and calls by Investment Advisers. xviii. Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers. xix. Don’t rush into making investments that do not match your risk taking appetite and investment goals. xx. Do not share login credential and password of your trading and demat accounts with the Investment Adviser. Annexure- B Complaint Data to be displayed by IAs Formats for investors complaints data to be disclosed monthly by IAs on their website/mobile application: Data for the month endin .....

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Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications - SEBI

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