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TMI BlogPublishing Investor Charter and disclosure of Investor Complaints by Investment Advisers on their websites/mobile applicationsX X X X Extracts X X X X X X X X Extracts X X X X ..... rovided to investors, their rights, dos and don'ts, responsibilities, investor grievance handling mechanism and timelines thereof etc., at one single place, in a lucid language, for ease of reference. 2. All registered Investment Advisers are advised to bring to the notice of their clients the Investor Charter as provided at Annexure- A by prominently displaying on their websites and mobile applications. Investment Advisers not having websites/mobile applications shall, as a one-time measure, send Investor Charter to the investors on their registered e-mail address. 3. Further, SEBI issued Circular No. SEBI/HO/IMD/DF1/CIR/P/2019/169 dated December 27, 2019 which inter alia at Para 1 (iv) prescribed display of complaints status by Investme ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... gov.in Annexure- A Investor Charter in respect of Investment Adviser (IA) 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 Investment Adviser with respect to the investors * To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information. * To do a proper and unbiased risk - profiling and suitability assessment of the client. * To obtain registra ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... omplaint with SEBI on SEBI's 'SCORES' portal which is a centralized web based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint. 3. 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. Expectations from the investors (Responsibilities of investors) * Do's i. Always deal with SEBI registered Investment Advisers. ii. Ensure that the Investment Adviser has a valid registration certificate. ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... s for investment to the Investment Adviser. xiv. Don't fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don't let greed overcome rational investment decisions. xv. Don't fall prey to luring advertisements or market rumors. xvi. Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives. xvii. Don't take decisions just because of repeated messages and calls by Investment Advisers. xviii. Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers. xix. Don't rush into making investments that do not match your risk taking appetite and investment goals. xx. Do not share login ..... X X X X Extracts X X X X X X X X Extracts X X X X
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