Investor Charter in respect of Research Analyst (RA)
OUR VISION
To protect the interests by enabling them to understand the risks involved and invest in fair, transparent, secure market, and to get services in a timely and efficient manner.
OUR MISSION
● To have streamlined procedures to ensure ease of transacting/investing in securities market for investors.
● To ensure that SEBI registered intermediaries/regulated entities adhere to their investor charters, including
● grievance redressal mechanism.
● To enable investors to understand risks involved before investing.
● To ensure fair and equitable treatment to investors.
● To ensure confidentiality of information shared by investors unless such information is required to be provided in furtherance of discharging legal obligations or investors have provided specific consent to share such information.
● To analyse the causes of investor grievances on a periodic basis and make appropriate policy amendments if required.
● To provide for alternative dispute resolution mechanism in agreements between investors and Market Infrastructure Institutions/ Intermediaries.
● To encourage innovative and digital solutions in securities marker.
INVESTORs have RIGHT to:
● Get fair and equitable treatment.
● Expect redressal of investor grievances filed in SCORES in a time bound manner
● Get quality services from SEBI recognized Market Infrastructure Institutions and SEBI registered intermediaries/regulated entities/ Asset Management Companies including right to exit at fair and reasonable terms from the securities marker related product or service and avail Online Dispute Resolution mechanism for the disputes, if any, arising therefrom
INVESTORS have RESPONSIBILITY to:
● Deal with SEBI recognised Market Infrastructure Institutions and SEBI registered intermediaries / regulated entities only
● Update their contact details like address, mobile number, email address, nomination, etc. and other key KYC details in case of any change.
● Ensure that grievances are taken up with the concerned entities within time limits prescribed.
● Ensure that their accounts are operated only for their own benefit.
Do’s
● Read and understand the documents carefully before investing
● Know about the Investor Grievance Redressal Mechanism.
● Know the risks involved before investing.
● Keep track of account statements and promptly bring any discrepancy noticed to the concerned stock exchange, intermediary or Asset Management Company.
● Know about various fees, charges, margins, premium, etc. involved in the transactions.
● Preserve relevant transaction related documents.
SEBI website in the following link:
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes &intmId=14
Don’ts
● Don’t make payments in cash while making any investment in securities market, beyond the prescribed limit.
● Don’t share your critical information like account details, login ids, passwords, DIS, etc. with anyone.
Investor Charter - Annexure- B as per Circular No SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0685 dated December 13, 2021
Complaint Data to be displayed by Research Analyst
Name of Organisation – Stocksovet Research Services Private Limited
Status – SEBI registered Research Analyst
SEBI Registration Number – INH000016366
Data for the month ending – <<>>, April 2025
| Sr No | Recieved from | Pending at the end of last month | Recieved | Resolved | Total Pending | Pending Complaints>3months | Average Resolution time(in days) |
|---|---|---|---|---|---|---|---|
| 1 | Directly Investors | nil | nil | nil | nil | nil | nil |
| 2 | SEBI(SCORES) | nil | nil | nil | nil | nil | nil |
| 3 | Other Sourcec (If any) | nil | nil | nil | nil | nil | nil |
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 complaints
| Sr No | Month | Carried forward from previous month | Received | Resolved | Pending |
|---|---|---|---|---|---|
| 1 | April 2024 | nil | nil | nil | nil |
| 2 | May 2024 | nil | nil | nil | nil |
| 3 | June 2024 | nil | nil | nil | nil |
| 4 | July 2024 | nil | nil | nil | nil |
| 5 | August 2024 | nil | nil | nil | nil |
| 6 | September 2024 | nil | nil | nil | nil |
| 7 | October 2024 | nil | nil | nil | nil |
| 8 | November 2024 | nil | nil | nil | nil |
| 9 | December 2024 | nil | nil | nil | nil |
| 10 | January 2025 | nil | nil | nil | nil |
| 11 | February 2025 | nil | nil | nil | nil |
| 12 | March 2025 | nil | nil | nil | nil |
| 13 | April 2025 | nil | nil | nil | nil |
| Grand Total | nil | nil | nil | nil |
Trend of annual disposal of Complaints
| Sr No | Year | Carried forward from previous month | Received | Resolved | Pending |
|---|---|---|---|---|---|
| 1 | 2024-2025 | nil | nil | nil | nil |
| Grand Total | nil | nil | nil | nil |
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
