Investor Charter for Research Analyst (RA)
Vision:
Invest with confidence through knowledge and security.
Mission:
Enable investors to make informed decisions by choosing the right investment products, managing and monitoring their portfolios effectively, accessing insightful reports, and achieving long-term financial well-being.
Business Activities of the Research Analyst for Investors
Publication of Research Reports: Sharing reports based on in-depth research and analysis.
Independent & Unbiased Insights: Providing objective views on securities without external influence.
Transparent Recommendations: Offering unbiased investment recommendations while disclosing any financial interests in the suggested securities.
Data-Driven Analysis: Basing recommendations on publicly available information and market observations.
Annual Audit: Conducting regular audits to ensure compliance and maintain transparency.Services Provided to Investors (No Indicative Timelines)
Client Onboarding: Assisting investors in the registration and onboarding process.
Transparent Disclosures: Providing necessary disclosures to clients regarding research activities.
Fair Distribution: Ensuring equal access to research reports and recommendations without bias.
Confidentiality Assurance: Maintaining strict confidentiality of research reports until they are publicly released.Grievance Redressal Mechanism
Initial Resolution: Investors should first approach the concerned Research Analyst for grievance resolution within 30 days.
Escalation to SEBI: If unsatisfied, investors can lodge a complaint on SEBI’s SCORES portal, a centralized web-based complaint redressal system that allows tracking of complaint status.
Investor Responsibilities & Best Practices
Do’s:
Deal only with SEBI-registered Research Analysts.
Verify the valid SEBI registration certificate and number before engaging.
Check the official SEBI list of registered Research Analysts [available here](SEBI Registered Research Analysts).
Review all disclosures in research reports before making investment decisions.
Make payments only through banking channels and keep signed receipts for reference.
Cross-check research recommendations before investing in securities or public offers.
Ask relevant questions and clarify doubts before acting on recommendations.
Report any Research Analyst promising guaranteed returns to SEBI.
Don’ts:
Do not provide funds to a Research Analyst for investment.
Avoid falling for misleading advertisements, market rumors, or false claims.
Ignore limited-period discounts, incentives, or gifts meant to lure investors.
Never share trading or demat account login credentials with a Research Analyst.
