TaxTMI 
TaxTMI 
Investor Charter for Research Analysts
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....inclusion and financial 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 Research Analysts. 3. In view of the above and based on consultation with Industry Standards Forum (ISF) for Research Analysts, updated investor charter for Research Analysts is placed at Annexure A. 4. In this regard, BSE Limited (presently recognized as RAASB) is directed to advise Research Analysts 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),....
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....ral Manager Telephone: +91-22-26449633 E-mail: [email protected] ANNEXURE A INVESTOR CHARTER IN RESPECT OF Ras 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 Research Analyst with respect to the investors * To publish research report based on the research activities of the RA * To provide an independent unbiased view on securities. * To offer unbiased recommendat....
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....yst. * To distribute research reports and recommendations to the clients without discrimination. * To maintain confidentiality w.r.t publication of the research report until made available in the public domain. * To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information * To disclose the timelines for the services provided by the research analyst to clients and ensure adherence to the said timelines * To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products/services * To treat all clients with honesty and integrity * To ensure confidentiality of ....
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....nce 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. 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 Sa....
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....r the mechanism. (Applicable for fee paying clients only) vi. Before buying/ selling securities or applying in public offer, check for the research recommendation provided by your Research Analyst. vii. Ask all relevant questions and clear your doubts with your Research Analyst before acting on recommendation. viii. Seek clarifications and guidance on research recommendations from your Research Analyst, especially if it involves complex and high risk financial products and services. ix. Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed between you and your Research Analyst. x. Always be aware that you have the right to provide feedback to your Research....
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....tity: Note: In case of any complaints received against the RA due to impersonation of the RA by some other entity, the RA may adjust the number of such complaints from total number of received/resolved complaints while preparing the above table. Further, RA must close such impersonation related complaints after following the due process as specified by SEBI/ RAASB. * Inclusive of complaints of previous months resolved in the current month. # Inclusive of complaints pending as on the last day of the month. ^ 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 ....