TaxTMI 
TaxTMI 
Publishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applications
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.... is a brief document 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 ....
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.... Deputy General Manager Tel: 022-26449204 Email: [email protected] 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 confidenti....
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..... Details of grievance redressal mechanism and how to access it 1. In case of any grievance / complaint, an investor should approach the concerned Investment Adviser and shall ensure 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 ....
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....visory plans, category of recommendations etc. before dealing with any Investment Adviser. ix. Be vigilant in your transactions. x. Approach the appropriate authorities for redressal of your doubts / grievances. xi. Inform SEBI about Investment Advisers offering 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 rumor....
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....p; ^ 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 3 June, YYYY 4 ................. 5 March, YYYY Grand Total &n....