Investor Charter — Rishab Singh Dheer

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in the right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

Details of business transacted by the Research Analyst with respect to investors

To publish research reports based on the research activities of the RA.
To provide an independent, unbiased view on securities.
To offer unbiased recommendations, disclosing financial interests in recommended securities.
To provide research recommendations based on analysis of publicly available information and known observations.
To conduct an audit annually.
To ensure that all advertisements adhere 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.

Details of services provided to investors

Onboarding of Clients: Sharing of terms and conditions of research services; completing KYC of fee-paying clients.

Disclosure to Clients:

To disclose information that is material for the client to make an informed decision, including details of business activity, disciplinary history, terms and conditions of research services, details of associates, risks and conflicts of interest, if any.
To disclose the extent of use of Artificial Intelligence tools in providing research services.
While distributing a third-party research report, to disclose any material conflict of interest of such third-party research provider or provide a web address directing the recipient to the relevant disclosures.
To disclose any conflict of interest of the research services with other activities of the research analyst.
To distribute research reports and recommendations to clients without discrimination.
To maintain confidentiality with respect to publication of the research report until made available in the public domain.
To respect the data privacy rights of clients and take measures to protect unauthorized use of their confidential information.
To disclose the timelines for the services provided and ensure adherence to them.
To provide clear guidance and adequate caution notice when recommending dealing in complex and high-risk financial products/services.
To treat all clients with honesty and integrity.
To ensure confidentiality of information shared by clients unless required to be provided in furtherance of discharging legal obligations or where a client has provided specific consent.

Grievance redressal mechanism

In case of any grievance / complaint, an investor may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of receipt of the grievance.

Complaints may also be filed on SCORES 2.0 (a web-based centralized grievance redressal system of SEBI) at scores.sebi.gov.in. There is a two-level review: first review by the designated body (RAASB), and second review by SEBI. If the investor is not satisfied with the resolution provided, the investor may file the complaint/grievance on the SMART ODR platform for resolution through online conciliation or arbitration.

With regard to physical complaints, investors may write 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.

Rights of Investors