Investor
Charter
Comprehensive guidelines defining the rights, responsibilities, and operational guidelines of Research Analysts for professional-grade investor protection.
Transparency
RA Regulation 2014
Professional Governance
Our Vision
“Invest with knowledge & safety.”
Our 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.
Business Transacted by
Research Analyst
Services Provided to Investors
Onboarding & Guidelines
Client Onboarding
- Sharing of terms and conditions of research services
- Completing KYC of fee paying clients
Disclosure Obligations
Information that is material for informed decisions (business activity, history, associates, risks).
Extent of use of Artificial Intelligence tools in research services.
Distribution of third party research reports (conflict of interest or source web addresses).
Any conflict of interest of research activities with other activities of the RA.
Operational Standards
Distribute reports and recommendations to clients without discrimination.
Maintain confidentiality w.r.t publication until available in public domain.
Respect data privacy rights and protect unauthorized use of information.
Disclose timelines for services and ensure adherence to said timelines.
Provide clear guidance/caution notice for complex and high-risk products.
Treat all clients with honesty and integrity.
Ensure confidentiality unless required by legal obligations or client consent.
Grievance Redressal Mechanism
Direct Redressal
Approach the concerned Research Analyst directly. We strive to redress grievances immediately, but not later than 21 days of receipt.
SCORES 2.0
SEBI's centralized web-based system for effective, time-bound grievance redressal.
Platform Access
scores.sebi.gov.inTwo-Level Review
1. First review by RAASB
2. Second review by SEBI
SMART ODR Platform
If unsatisfied with Market Participants' resolution, investors can file complaints for online conciliation or arbitration.
Physical Complaints
Office of Investor Assistance and Education, SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051
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 receive information about all statutory and regulatory disclosures
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of the timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to have timely redressal
Right to Exit from Financial product or service as per agreed terms
Right to receive clear guidance and caution notice for High-Risk Products
Additional Rights for vulnerable consumers (Suitable access for differently abled)
Right to provide feedback on products and services used
Right against coercive, unfair, and one-sided clauses
Expectations from Investors
Always deal with SEBI registered Research Analyst.
Ensure RA has a valid registration certificate and check SEBI number.
Pay attention towards disclosures in research reports before investing.
Pay through banking channels only; maintain signed receipts.
Check research recommendations before buying/selling securities.
Ask relevant questions and clear doubts with your RA before acting.
Seek guidance on complex and high-risk products.
Awareness of right to stop services as per agreed terms.
Awareness of right to provide feedback on services received.
Awareness that clauses contravening regulatory provisions are not binding.
Inform SEBI about RA offering assured or guaranteed returns.
SEBI Database
Verify Registered Analysts
Do not provide funds for investment to the Research Analyst.
Don‘t fall prey to luring advertisements or market rumors.
Do not get attracted to limited period discounts, incentives, or gifts.
Do not share login credentials/passwords for trading, demat, or bank accounts.
Regulatory Compliance
SP RESEARCHVIA PVT. LTD. is committed to the highest standards of regulatory compliance and investor protection. This charter is updated regularly in accordance with SEBI directives to ensure maximum transparency and security for our clients.