TaxTMI 
TaxTMI 
Investor Charter for Investment Advisers
X X X X Extracts X X X X
X X X X Extracts X X X X
....al literacy and in view of the recent developments in the securities market including introduction of Online Dispute Resolution (ODR) platform and SCORES 2.0, it has been decided to modify the investor charter for Investment Advisers. 3. In view of the above and based on consultation with Industry Standards Forum (ISF) for Investment Advisers, updated investor charter for Investment Advisers is placed at Annexure A. 4. In this regard, BSE Limited (presently recognized as IAASB) is directed to advise Investment Advisers to bring the Investor Charter to the notice of their clients (existing as well as new clients) through disclosing the Investor Charter on their respective websites and mobile applications (if any), making them available at ....
X X X X Extracts X X X X
X X X X Extracts X X X X
[email protected] ANNEXURE A INVESTOR CHARTER IN RESPECT OF IAs 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, aspects 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 conduct audit an....
X X X X Extracts X X X X
X X X X Extracts X X X X
....dvice to the client based on the risk-profiling of the clients and suitability of the client. * To treat all advisory clients with honesty and integrity. * To make adequate disclosure to the investor of all material facts such as risks, obligations, costs, etc. relating to the products or securities advised by the adviser. * To provide clear guidance and adequate caution notice to clients when providing investment advice for dealing in complex and high-risk financial products/services. * 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. * To disclose the ti....
X X X X Extracts X X X X
X X X X Extracts X X X X
....dra-Kurla Complex, Bandra (E), Mumbai - 400 051 E. Rights of investors * Right to Privacy and Confidentiality * Right to Transparent Practices * Right to fair and Equitable Treatment * Right to Adequate Information * Right to Initial and Continuing Disclosure - 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 be Heard and Satisfactory Grievance Redressal * Right to have timely redressal * Right to Suitability of the Financial Products * Right to Exit from Financial product or service in accordance with the term....
X X X X Extracts X X X X
X X X X Extracts X X X X
.... Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice. vii. Assess the risk-return profile of the investment as well as the liquidity and safety aspects before making investments. viii. Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees, advisory 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. xii. Always be aware that you have the right to ex....
X X X X Extracts X X X X
X X X X Extracts X X X X
....heir website and mobile applications: Data for the month ending -_____________ Sr. No. Received from Pending at the end of last month Received Resolved * Total Pending # Pending complaints > 3months Average Resolution time^ (in days) 1 Directly from Investors 2 SEBI (SCORES ) 3 Other Sources (if any) Grand Total Number of complaints received during month against the IA due to impersonation by some other entity: Note: In case of any complaints received against the IA due to impersona....