TMI BlogPublishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applicationsX X X X Extracts X X X X X X X X Extracts X X X X ..... containing details of service provided to investors, their rights, dos and don ts, responsibilities, investor grievance handling mechanism and timelines thereof etc., at one single place, in a lucid language, for ease of reference. 2. All registered 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... y General Manager Tel: 022-26449204 Email: dipanjanm@sebi.gov.in Annexure- A Investor Charter in respect of Investment Adviser (IA) 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 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... re that the grievance is resolved within 30 days. 2. 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. 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) D ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ffering assured or guaranteed returns. Don ts xii. Don t fall for stock tips offered under the pretext of investment advice. xiii. Do not provide funds for investment to the Investment Adviser. xiv. 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. xv. Don t fall prey to luring advertisements or market rumors. 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, ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month. Trend of monthly disposal of complaints Sr. No. Month Carried forward from previous month Received Resolved* Pending# 1 April, YYYY 2 May, YYYY ..... X X X X Extracts X X X X X X X X Extracts X X X X
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