Investor Charter

Vision and Mission Statements for Investors

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in suitable products based on their needs, monitor them to meet their goals, access reports, and enjoy financial wellness.

Details of business transacted by the Research Analyst

• Publish research reports based on the RA’s research activities.
• Provide an independent, unbiased view on securities.
• Offer unbiased recommendations, disclosing financial interests in recommended securities.
• Provide research recommendations based on publicly available information and known observations.
• Conduct an annual audit.

Details of services provided to investors (No indicative timelines)

• Onboarding of clients.
• Disclosure to clients.
• Distribute research reports and recommendations to clients without discrimination.
• Maintain confidentiality with respect to publication of research reports until they are in the public domain.

Grievance redressal mechanism and how to access it

If you have a complaint, first approach the Research Analyst and allow up to 30 days for resolution.

If unresolved or unsatisfactory, lodge a complaint on SEBI’s centralized web-based complaints redressal system: SCORES. You can also use the SCORES mobile app from Google Play.

You may also use SEBI’s Online Dispute Resolution portal, as per SEBI circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 (July 31, 2023): https://smartodr.in/.

For physical correspondence: 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.

Expectations from investors (Responsibilities)

Do’s

• Deal only with SEBI-registered Research Analysts and verify the registration certificate/number.
• Refer to SEBI’s list of registered Research Analysts: SEBI website (see the Research Analyst section).
• Review disclosures in research reports before investing.
• Pay fees via banking channels only and keep signed receipts.
• Ask questions and clarify doubts before acting on any recommendation.
• Inform SEBI about anyone offering assured/guaranteed returns.

Don’ts

• Do not provide funds to the Research Analyst for investment.
• Do not fall prey to luring advertisements or market rumours.
• Do not be swayed by limited-period discounts/gifts/incentives.
• Do not share your trading or demat login credentials with anyone, including the Research Analyst.

Investing and trading in the securities market are subject to market risks. Stock Wyse (SEBI Registered Research Analyst) does not provide assured/guaranteed returns or profit-sharing services.