SEBI Regulatory Disclosures

Data for the month ending: May 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. 2024-25)

Sr NoMonthCarried forward from previous monthReceivedResolved*Pending#
1April 20240000
2May 20240000
3June 2024
4July 2024
5August 2024
6September 2024
7October 2024
8November 2024
9December 2024
10January 2025
11February 2025
12March 2025

Trend of annual disposal of complaints

Sr NoYearCarried forward from previous yearReceivedResolved*Pending#

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

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.