TaxTMI 
TaxTMI 
Investor Charter for Research Analysts
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....l consumer protection alongside enhanced financial 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 ....
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....bsp; Yours faithfully, Aradhana Verma General 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 activitie....
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....rest of such third party research provider or provide web address that directs a recipient to the relevant disclosures • To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst. • 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 c....
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....signated email ID of RAASB 2. If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration. 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. Rights of investors • Right to Privacy and Confidentiality â....
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.... Check for SEBI registration number. Please refer to the list of all SEBI registered Research Analyst which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi =yes&intmId=14) iv. Always pay attention towards disclosures made in the research reports before investing. v. Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of fees through Centralized Fee Collection Mechanism (CeFCoM) of RAASB if research analyst has opted for the mechanism. (Applicable for fee paying clients only) vi. Before buying/ selling securities....
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....s Formats for investors complaints data to be disclosed monthly by RAs on their website/mobile application: 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....