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 Satisfactory Grievance Redressal
• Right to have timely redressal
• Right to Exit from Financial product or service in accordance with the terms and conditions agreed with the research analyst
• Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services
• Additional Rights to vulnerable consumers – Right to get access to services in a suitable manner even if differently abled
• Right to provide feedback on the financial products and services used
• Right against coercive, unfair, and one-sided clauses in financial agreements

F. Expectations from the investors (Responsibilities of investors)

● Do’s

i. Always deal with SEBI registered Research Analyst.
ii. Ensure that the Research Analyst has a valid registration certificate.
iii. 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 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 Analyst in respect of the services received.
xi. Always be aware that you will not be bound by any clause, prescribed by the
research analyst, which is contravening any regulatory provisions.
xii. Inform SEBI about Research Analyst offering assured or guaranteed returns.

● Do’s

i. Do not provide funds for investment to the Research Analyst.
ii. Don’t fall prey to luring advertisements or market rumors.
iii. Do not get attracted to limited period discount or other incentive, gifts, etc.
offered by Research Analyst.
iv. Do not share login credential and password of your trading, demat or bank
accounts with the Research Analyst.