SEBI Regulatory Disclosures
Data for the month ending: September 2023
| Sr No | Received from | Pending at the end of last month | Received | Resolved* | Total pending# | Pending complaints > 3 months | Average resolution time^ (in days) |
|---|---|---|---|---|---|---|---|
| 1 | Directly from investors | 0 | 0 | 0 | 0 | 0 | 0 |
| 2 | SEBI (SCORES) | 0 | 0 | 0 | 0 | 0 | 0 |
| 3 | Other sources (if any) | 0 | 0 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 | 0 | 0 |
Trend of monthly disposal of complaints (F.Y. 2023-24)
| Sr No | Month | Carried forward from previous month | Received | Resolved* | Pending# |
|---|---|---|---|---|---|
| 1 | April 2023 | 0 | 0 | 0 | 0 |
| 2 | May 2023 | 0 | 0 | 0 | 0 |
| 3 | June 2023 | 0 | 0 | 0 | 0 |
| 4 | July 2023 | 0 | 0 | 0 | 0 |
| 5 | August 2023 | 0 | 0 | 0 | 0 |
| 6 | September 2023 | 0 | 0 | 0 | 0 |
| 7 | October 2023 | 0 | 0 | 0 | 0 |
| 8 | November 2023 | 0 | 0 | 0 | 0 |
| 9 | December 2023 | 0 | 0 | 0 | 0 |
| 10 | January 2024 | 0 | 0 | 0 | 0 |
| 11 | February 2024 | 0 | 0 | 0 | o |
| 12 | March 2024 | 0 | 0 | 0 | 0 |
Trend of annual disposal of complaints
| Sr No | Year | Carried forward from previous year | Received | Resolved* | Pending# |
|---|---|---|---|---|---|
| 1 | 2018-19 | 0 | 0 | 0 | 0 |
| 2 | 2019-20 | 0 | 0 | 0 | 0 |
| 3 | 2020-21 | 0 | 0 | 0 | 0 |
| 4 | 2021-22 | 0 | 0 | 0 | 0 |
| 5 | 2022-23 | 0 | 0 | 0 | 0 |
Disclosure with respect to complying with Annual Compliance Audit requirements under regulation 19(3) of the SEBI (investment advisers) regulations, 2013:
| Sr. No | Financial year | Compliance Audit Status | Remarks, if any |
| 1 | FY 2020-21 | Conducted | No adverse remarks from auditor |
| 2 | FY 2021-22 | Conducted | No adverse remarks from auditor |
| 3 | FY 2022-23 | Conducted | No 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.
