Investor Charter

 A. Vision and Mission Statements for Investors

Vision: Empowering investors with knowledge and security in their financial decisions.

Mission: We aim to guide all investors to choose the most suitable investment plan aligned with their Objectives, Risk Appetite, Nature, Manage and track their portfolio effectively to achieve their goals, provide necessary reporting, and promote their overall financial health.

B. The key business activities conducted by the Research Analyst in relation to investors include:

• Publishing research reports with respect to thorough research and analysis.
• Offering independent, unbiased perspectives on securities to investors.
• Making recommendations that are uninfluenced by any financial stakes, while disclosing any relevant interests in recommended securities.
• Providing research-based suggestions stemming from examination of publicly available data and known facts.
• Carrying out annual audits to ensure processes and practices adhere to standards.

C. Details of services provided to investors (No Indicative Timelines):

• Onboarding of new clients 
• Providing necessary disclosures to clients 
• Distributing research reports and call recommendations to all clients at the same time without any preferential treatment.
• Maintaining confidentiality of research report content and calls until public release.

Key services entail client onboarding, transparency through disclosures, equitable dissemination of research to all investors, and preserving confidentiality of reports and calls before publication.

D. Details of grievance redressal mechanism and procedure to access it:

In case an investor has any grievance or complaint, they should first contact the concerned research analyst directly to get it resolved within 30 days. If the complaint is not adequately addressed, the investor can submit their grievance on the SCORES portal of SEBI. SCORES is a centralized web-based system for grievance redressal that SEBI reviews and directs to the relevant intermediaries for timely resolution. It allows tracking status of the complaint. For physical complaints, investors can write 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. 

The aim is to ensure convenient access to redressal mechanisms for investor complaints against research analysts.

E. Expectations from investors (Responsibilities of investors)

Do's:

i. Only engage with SEBI registered Research Analysts.

ii. Verify the Research Analyst has a valid registration certificate.

iii. Check the SEBI registration number.

iv. Refer to the list of registered Research Analysts on SEBI's website for verification.

v. Review disclosures made in research reports before investing.

vi. Pay your Research Analyst via banking channels and maintain signed payment receipts.

vii. Check research recommendations before buying securities or applying in public offers.

viii. Seek clarification from your Research Analyst before acting on recommendations.

ix. Inform SEBI if promised assured or guaranteed returns.

Don'ts:

i. Do not provide funds for investment to the Research Analyst.

ii. Avoid luring ads or market rumors.

iii. Do not get enticed by limited period incentives, gifts etc. offered by the Research Analyst.

iv. Never share your trading and demat account credentials with the Research Analyst.

The key responsibilities of an investor/trader includes : verifying SEBI registration, reviewing disclosures, seeking clarification on recommendations, reporting misconduct and avoiding risky practices like sharing account credentials.

DATA AS ON FOR THE MONTH ENDING:

PENDING AT THE END OF THE LAST MONTH

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0
 

RECEIVED FROM:

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

RECEIVED:

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

RESOLVED:

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

TOTAL PENDING:

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

PENDING COMPLAINTS > 3 MONTHS:

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

AVERAGE RESOLUTION TIME ^  (in days):

• Directly from Investors: 0
• SEBI ( SCORES): 0
• Other Sources (if any): 0

GRAND TOTAL :- 0

^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.

TREND OF ANNUAL DISPOSAL OF COMPLAINTS:

2023-24: 

• Carried Forward from the Previous Year: 0
• Received: 0
• Resolved: 0
• Pending: 0

GRAND TOTAL :- 0

For any query or grievance, you can reach us out on info@alokdaiya.com

SEBI: https://www.sebi.gov.in/department/investment-management-department-9/investor-complaints-cell-123/overview.html

A letter may also be written with the query/grievance and posted at the below mentioned Registered Address:

18, Brojodulal Street, Kolkata - 700006 West Bengal, India

Clients can also write to the support team of the Research Analyst at raalokdaiya@gmail.com

The Client can expect a reply within 10 business days after sending e-mail. 

If our response does not resolve your grievance to your satisfaction, then you also have the option of filing a formal grievance with the Securities and Exchange Board of India (SEBI) at 

 http://scores.gov.in or you may also write to any of the offices of SEBI.   

SCORES may be accessed through SCORES mobile application as well, same can be downloaded from the below link:

• https://play.google.com/store/apps/details?id=com.ionicframework.sebi236330
• https://apps.apple.com/in/app/sebiscores/id1493257302

Dear Valued Customer,

We are committed to providing exceptional customer service and addressing any grievances promptly. Please follow this process for resolutions:

Step 1: Email at raalokdaiya@gmail.com or call +91 9331111888 with your concerns. We guarantee a solution within 30 business days.

Step 2: If the issue remains unresolved after 30 days, visit the SEBI SCORES site or app to file an official complaint against our registered intermediary.

SCORES enables investors to submit grievances to SEBI to then monitor the status.

If still unsatisfied with the analyst’s response, escalate your complaint to SEBI directly at http://scores.gov.in or by writing to any SEBI office.

For queries, feedback or help, contact SEBI’s Toll Free Helpline at 1800 22 7575 / 1800 266 7575.

I have paraphrased the content to convey the same meaning while using alternative wording and sequencing. Please let me know if you need any clarification or have additional requirements.

The Services are being provided under the SEBI Research Analyst License Number INH000011468 - Alok Daiya

STANDARD DISCLAIMER: 

• Investing in securities markets involves risks. 

• Read all documents carefully before investing. SEBI registration and NISM certification do not guarantee intermediary performance or assure investor returns. 

• We do not promise risk-free returns. We charge fixed fees, not profit-sharing. We are not responsible for client financial losses.

• Assess your risk tolerance, risk appetite and cash position before following group content.  

• Stock market investments are VERY RISKY and being part of this group, you agree that you understand the Market risks involved. *Profits and Losses are part of Share market.

• Kindly understand and act wisely. All members please follow guidelines as applicable even in past too.

• Anyone who is not agreeable to these conditions must EXIT the group.