Investor's Charter | Your Rights & SEBI Regulations

Section A

Vision & Mission Statements for Investors

Vision

Invest with knowledge & safety.

Mission

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

Section B

Details of Business Transacted by the Research Analyst

To publish a research report based on the research activities of the Research Analyst.
To provide an independent, unbiased view on securities.
To offer unbiased recommendations, disclosing any financial interests in recommended securities.
To provide research recommendations based on analysis of publicly available information and known observations.
To conduct an 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 research services has taken place.

Section 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 business activity, disciplinary history, 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 a web address directing the recipient to the relevant disclosures.
To disclose any conflict of interest in the activities of providing research services with other activities of the Research Analyst.

To distribute research reports and recommendations to clients without discrimination.
To maintain confidentiality with respect to the publication of the research report until made available in the public domain.
To respect the data privacy rights of clients and take measures to protect unauthorised use of their confidential information.
To disclose the timelines for 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 or 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.

Section D

Grievance Redressal Mechanism

In case of any grievance or complaint, an investor may escalate through the following channels in sequence:

1

Approach the Research Analyst directly

The Research Analyst shall strive to redress the grievance immediately, and not later than 21 days of receipt of the complaint.

2

SCORES 2.0 — SEBI's Centralised Grievance Redressal System

A web-based platform for facilitating effective grievance redressal in a time-bound manner. Complaints filed on SCORES undergo a two-level review: first by RAASB (Research Analyst Administration and Supervisory Body), then by SEBI.
scores.sebi.gov.in

3

SMARTODR — Online Dispute Resolution

If not satisfied with the resolution from the Research Analyst or SCORES, the investor may file a complaint on the SMARTODR platform for resolution through online conciliation or arbitration.
smartodr.in

4

Physical Complaints — SEBI Office, Mumbai

Physical complaints may be sent 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

Designated Contacts for Grievance Redressal

Designation	Contact Person	Address	Contact No.	Email	Working Hours
Customer Care	Foram Chheda	50, Tagore Road, Santacruz (W), Mumbai	+91 96534 68326	info@chartanalytics.co.in	10:30 AM – 6:00 PM
Head of Customer Care	N/A	N/A	N/A	N/A	N/A
Compliance Officer	N/A	N/A	N/A	N/A	N/A
CEO	N/A	N/A	N/A	N/A	N/A
Principal Officer	Foram Chheda	50, Tagore Road, Santacruz (W), Mumbai	+91 91679 76543	foram.chheda@chartanalytics.co.in	10:30 AM – 6:00 PM

Section 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 — including the right to receive information about all statutory and regulatory disclosures.
Right to Fair & True Advertisement.
Right to Awareness about Service Parameters and Turnaround Times — including the right to be informed of timelines for each service.
Right to be Heard and to Satisfactory Grievance Redressal — including the right to timely redressal.
Right to Exit from a financial product or service in accordance with the terms and conditions agreed with the Research Analyst.
Right to receive clear guidance and caution notice when dealing in complex and high-risk financial products and services.
Additional Rights for vulnerable consumers — including the right to access services in a suitable manner even if differently abled.
Right to provide feedback on financial products and services used.
Right against coercive, unfair, and one-sided clauses in financial agreements.

Section F

Expectations from Investors — Responsibilities

Do's

Always deal with a SEBI-registered Research Analyst.
Ensure the Research Analyst has a valid registration certificate.
Check for the SEBI registration number. The full list of SEBI-registered Research Analysts is available at sebi.gov.in/registered-research-analysts.
Always pay attention to disclosures made in research reports before investing.
Pay your Research Analyst through banking channels only and maintain duly signed receipts with payment details. You may use the Centralised Fee Collection Mechanism (CeFCoM) of RAASB if the Research Analyst has opted for it. (Applicable to fee-paying clients only.)
Before buying or selling securities or applying in a public offer, check for the research recommendation provided by your Research Analyst.
Ask all relevant questions and clear your doubts with your Research Analyst before acting on any recommendation.
Seek clarifications and guidance on research recommendations, especially when they involve complex and high-risk financial products or services.
Always be aware that you have the right to stop availing the services of a Research Analyst as per the terms of service agreed between you.
Always be aware that you have the right to provide feedback to your Research Analyst in respect of services received.
Always be aware that you will not be bound by any clause prescribed by the Research Analyst that contravenes any regulatory provision.
Inform SEBI about any Research Analyst offering assured or guaranteed returns.

Don'ts

Do not provide funds for investment to the Research Analyst.
Do not fall prey to luring advertisements or market rumours.
Do not get attracted to limited-period discounts, incentives, or gifts offered by a Research Analyst.
Do not share login credentials or passwords of your trading, demat, or bank accounts with the Research Analyst.