Investor Charter in respect of Research Analyst (RA)
A. Vision and Mission Statements for Investors
Vision
Invest with knowledge and safety.
Mission
Every investor should be able to invest in the right investment products based on their needs, understand the risks involved, mitigate risks by diversifying and create wealth in the long term.
B. Details of Business Transacted by the Research Analyst with respect to the Investors
Market Analysis
Providing detailed analysis of market trends, sectors, and specific securities to help investors make informed decisions.
Investment Recommendations
Offering buy, sell, or hold recommendations for securities based on fundamental and technical analysis.
Research Reports
Publishing comprehensive research reports on companies, industries, and economic trends to guide investment strategies.
Risk Assessment
Evaluating potential risks associated with various investment options and providing risk mitigation strategies.
C. Details of Services Provided to Investors
-
Research Analyst provides equity research, debt research, forex research, mutual fund research, and other investment research.
-
The services of Research Analyst are provided to its proprietary trading division and to its associated companies.
-
The Research Analyst offers personalized investment advice based on client risk profiles and financial goals.
-
Periodic updates and market insights are provided through newsletters, webinars, and client portals.
D. Expected Timelines of Services Provided
| Service Activity | Timeline |
|---|---|
| Onboarding of client for research services | Within 7 working days |
| Daily market updates and analysis | Before market opening hours |
| Specific stock research reports | Within 24-48 hours of significant events |
| Quarterly earnings analysis | Within 3 working days of results announcement |
| Portfolio review and recommendations | Monthly or as requested by client |
| Response to client queries | Within 24 hours on working days |
E. Do's and Don'ts for Investors
Do's
-
Always read research reports thoroughly before making investment decisions.
-
Check the credentials and SEBI registration of the Research Analyst.
-
Pay attention to disclosures on conflict of interest made by Research Analyst.
-
Diversify your investments based on your risk appetite and financial goals.
-
Keep track of your investments and review them periodically.
Don'ts
-
Don't make investment decisions solely based on tips without doing your own research.
-
Don't blindly follow the recommendations without understanding the rationale behind them.
-
Don't invest in products that you don't understand or that exceed your risk tolerance.
-
Don't share your personal and financial information with unregistered entities.
-
Don't ignore the risk factors mentioned in research reports or product documents.
F. Grievance Redressal Mechanism
Escalation Process
-
1
First Level: Contact the Research Analyst directly through the designated customer service channels.
-
2
Second Level: If not resolved, escalate to the Compliance Officer of the Research Analyst.
-
3
Third Level: If still not resolved, approach SEBI or Stock Exchange or Depository.
SEBI Contact Information
SEBI Toll-Free Helpline: 1800 22 7575 / 1800 266 7575
Email: sebi@sebi.gov.in
SEBI SCORES Portal: https://scores.gov.in
SEBI Smart ODR: https://smartodr.in
Reminder for Responsible Investing
All investments involve risks and may not be suitable for all investors. Before making any investment decision, you should carefully consider your investment objectives, level of experience, and risk appetite. Remember that past performance is not necessarily a guide to future performance.