SEBI Regulatory Disclosures

Data for the month ending: January 2024

Sr NoReceived fromPending at the end of last monthReceivedResolved*Total pending#Pending complaints > 3 monthsAverage resolution time^ (in days)
1Directly from investors000000
2SEBI (SCORES)000000
3Other sources (if any)000000
 Grand Total000000

Trend of monthly disposal of complaints (F.Y. 2023-24)

Sr NoMonthCarried forward from previous monthReceivedResolved*Pending#
1April 20230000
2May 20230000
3June 20230000
4July 20230000
5August 20230000
6September 20230000
7October 20230000
8November 20230000
9December 20230000
10January 20240000
11February 2024000o
12March 20240000

Trend of annual disposal of complaints

Sr NoYearCarried forward from previous yearReceivedResolved*Pending#
12018-190000
22019-200000
32020-210000
42021-220000
52022-230000

Disclosure with respect to complying with Annual Compliance Audit requirements under regulation 19(3) of the SEBI (investment advisers) regulations, 2013:

Sr. NoFinancial yearCompliance Audit StatusRemarks, if any
1FY 2020-21ConductedNo adverse remarks from auditor
2FY 2021-22ConductedNo adverse remarks from auditor
3FY 2022-23ConductedNo adverse remarks from auditor
SEBI SCORES

The SEBI SCORES website for logging complaints against listed companies/intermediaries including investment advisers can be accessed here.

The SEBI Scores android app can be downloaded from here.

The Investor charter for Investment advisers to facilitate investor awareness about various activities which an investor deals with while availing the services of an investment adviser has been developed by SEBI. The Investor charter can be downloaded here. Pages 3 to 6 of Annexure A of this circular is the SEBI Investor charter.

SEBI circulars pertaining to Investment adviser regulations can be downloaded from the SEBI webiste through this link.