Investor Charter – Research Analyst (RA)

Research Analyst: Vijay Kumar Gupta
SEBI Registration Number: INH000020226

A. Vision & Mission for Investors

Vision: Invest with knowledge & safety.

Mission: Enable investors to choose suitable investment products, monitor progress, access research, and achieve financial wellness.

B. Business Activities of the Research Analyst

Publish research reports based on independent analysis
Provide unbiased views on securities
Disclose financial interests in recommended securities
Base recommendations on publicly available information
Conduct annual audits
Ensure advertisements comply with SEBI Advertisement Code
Maintain records of all client and prospective client interactions

C. Services Provided to Investors

Client Onboarding

Sharing terms & conditions of research services
Completion of KYC for fee-paying clients

Disclosures to Clients

Disclosure of business activity, disciplinary history, risks & conflicts
Disclosure of use of Artificial Intelligence (AI) tools
Disclosure of conflicts in third-party research reports
Non-discriminatory distribution of research reports
Confidential handling of unpublished research
Protection of client data privacy
Disclosure of service timelines
Clear caution for complex and high-risk products
Honest, fair, and ethical treatment of all clients

D. Grievance Redressal Mechanism

Investors may first approach the Research Analyst, who shall strive to resolve grievances within 21 days.

SEBI SCORES 2.0: https://scores.sebi.gov.in
Two-level review: RAASB → SEBI
SMART ODR for conciliation or arbitration
Physical complaints to SEBI Investor Assistance Office, Mumbai

E. Rights of Investors

Right to privacy and confidentiality
Right to transparent and fair practices
Right to adequate and timely information
Right to fair and true advertisements
Right to grievance redressal and timely resolution
Right to exit services as per agreed terms
Right to caution and guidance in high-risk products
Additional rights for vulnerable investors
Right to provide feedback
Right against unfair or coercive contract terms

F. Responsibilities of Investors

Do’s

Deal only with SEBI-registered Research Analysts
Verify SEBI registration number
Read disclosures carefully before investing
Pay fees only via banking channels / CeFCoM
Seek clarification for complex products
Provide feedback on services
Inform SEBI about assured return schemes

Don’ts

Do not give funds for investment to Research Analyst
Do not fall for luring advertisements or rumors
Do not share trading, demat, or bank credentials
Do not get influenced by discounts or incentives