SEBI Registered Research Analyst: INH000024921 | BSE Enlightenment No: 6957

Compliance & Legal

Investor Charter

INVESTOR CHARTER IN RESPECT OF RESEARCH ANALYSTS (RAs)

A Vision and Mission Statements

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 RA

  • To publish research report based on the research activities of the RA.
  • To provide an independent unbiased view on securities.
  • To offer unbiased recommendation, disclosing the financial interests in recommended securities.
  • To provide research recommendation, based on analysis of publicly available information and known observations.
  • To conduct audit annually.
  • To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
  • To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.

C Details of services provided to investors

1. Onboarding of Clients

  • Sharing of Terms and Conditions of research services
  • Completing KYC of fee paying clients

2. Disclosure to Clients:

  • To disclose information material for the client to make an informed decision, including business activity, disciplinary history, terms of research services, details of associates, risks and conflicts of interest.
  • To disclose the extent of use of Artificial Intelligence tools in providing research services.
  • 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 respect data privacy rights of clients and protect unauthorized use of their confidential information.
  • To treat all clients with honesty and integrity.

D Grievance Redressal Mechanism

1. How to lodge a complaint:

Investors can approach the Research Analyst directly. We shall strive to redress the grievance immediately, but not later than 21 days of receipt.

SEBI SCORES 2.0

scores.sebi.gov.in

SMART ODR Platform

smartodr.in

Physical Complaints:

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
Right to Transparent Practices
Right to Initial and Continuing Disclosure
Right to receive statutory disclosures
Right to Fair & True Advertisement
Right to timely grievance redressal
Right to Exit from service as per T&C

F Responsibilities of Investors

Dos for Investors:

  • 1. Always deal with SEBI registered Research Analyst.
  • 2. Check for SEBI registration number.
  • 3. Pay fees only through banking channels.
  • 4. Ask relevant questions before acting on recommendations.

Don'ts for Investors:

  • 1. Do not provide funds for investment to the Research Analyst.
  • 2. Don't fall prey to luring advertisements or market rumors.
  • 3. Do not share login credentials or passwords.
  • 4. Do not get attracted to limited period discounts or incentives.

Last updated: October 2024. For further clarifications, please contact our Compliance Officer at stoxplexresearch@gmail.com.