Investors Charter

Investors Charter – Stock Wyse [t4b-ticker]

Investor Charter – Research Analyst

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 Research Analyst

To publish research report based on the research activities of the RA
To provide an independent unbiased view on securities.
To offer unbiased recommendation, disclosing the financial interests in recommended securities.
To provide research recommendation, based on analysis of publicly available information and known observations.
To conduct audit annually
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.

C. Details of Services Provided to Investors (No Indicative Timelines)

Onboarding of Clients:
- Sharing of terms and conditions of research services
- Completing KYC of fee paying clients
Disclosure to Clients:
- To disclose, information that is material for the client to make an informed decision, including details of its business activity, disciplinary history, the terms and conditions of research services, details of associates, risks and conflicts of interest, if any
- To disclose the extent of use of Artificial Intelligence tools in providing research services
- To disclose, while distributing a third party research report, any material conflict of interest of such third party research provider or provide web address that directs a recipient to the relevant disclosures
- To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst.
To distribute research reports and recommendations to the clients without discrimination.
To maintain confidentiality w.r.t publication of the research report until made available in the public domain.
To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information
To disclose the timelines for the services provided by the research analyst to clients and ensure adherence to the said timelines
To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products/services
To treat all clients with honesty and integrity
To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.

D. Grievance Redressal Mechanism

In case of any grievance / complaint, an investor may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.
File complaint via:
- SCORES 2.0 – SEBI’s platform
- Email to designated RAASB contact
- Escalation Levels:
  - 1st: RAASB
  - 2nd: SEBI
Use SMARTODR for online conciliation/arbitration
For physical complaints:
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 – 400051

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 Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be Heard and Satisfactory Grievance Redressal
Right to Exit from Financial product or service in accordance with the terms and conditions agreed
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 provide feedback
Right against coercive, unfair, and one-sided clauses

F. Responsibilities of Investors

Do’s:

Deal only with SEBI-registered Research Analysts
Verify registration number via SEBI Website
Check for valid registration certificate
Pay fees through bank only, and keep signed receipts
Use CeFCoM for fee payments if opted
Read all disclosures before acting
Seek clarification on complex products
Know your right to stop service anytime
Provide feedback on services
Report any assured return offers to SEBI

Don’ts:

Do not provide funds for investment to the Research Analyst
Do not believe in guaranteed returns or market rumors
Do not fall for gifts, discounts, or luring advertisements
Do not share login credentials of demat, bank, or trading accounts