To protect the interests by enabling them to understand the risks
involved and invest in fair, transparent, secure market, and to get
services in a timely and efficient manner.
OUR MISSION
To have streamlined procedures to ensure ease of transacting/investing
in securities market for investors.
To ensure that SEBI registered intermediaries/regulated entities
adhere to their investor charters, including grievance redressal
mechanism.
To enable investors to understand risks involved before investing.
To ensure fair and equitable treatment to investors.
To ensure confidentiality of information shared by investors unless
such information is required to be provided in furtherance of
discharging legal obligations or investors have provided specific
consent to share such information.
To analyse the causes of investor grievances on a periodic basis and
make appropriate policy amendments if required.
To provide for alternative dispute resolution mechanism in agreements
between investors and Market Infrastructure Institutions/
Intermediaries.
To encourage innovative and digital solutions in securities market.
INVESTORS have RIGHT to:
Get fair and equitable treatment.
Expect redressal of investor grievances filed in SCORES in a time
bound manner.
Get quality services from SEBI recognized Market Infrastructure
Institutions and SEBI registered
intermediaries/regulated entities/ Asset Management Companies
including right to exit at fair and reasonable terms from the
securities market related product or service and avail Online Dispute
Resolution mechanism for the disputes, if any, arising therefrom.
INVESTORS have RESPONSIBILITY to:
Deal with SEBI recognised Market Infrastructure Institutions and SEBI
registered intermediaries / regulated entities only..
Update their contact details like address, mobile number, email
address, nomination, etc. and other key KYC details in case of any
change..
Ensure that grievances are taken up with the concerned entities within
time limits prescribed.
Ensure that their accounts are operated only for their own benefit
Details of business transacted by the Research Analyst to the
investors.:
To publish a research report based on the research activities of the
RA.
To provide an independent unbiased view on securities.
To offer unbiased recommendations, disclosing the financial interests
in recommended securities..
To provide research recommendations, based on analysis of publicly
available information and known observations
Conduct audits annually.
Details of services provided to investors (No Indicative Timelines)
Onboarding of Clients
Disclosure to Clients
To distribute research reports and recommendations to the clients
without discrimination.
To maintain confidentiality w.r.t publication of the research report
until made available in the public domain.
Details of grievance redressal mechanism and how to access it
In case of any grievance/complaint, an investor should approach the
research analyst “Nirlep Shah: INH000010885” on support mail:
invest.nfs@gmail.com and ensure the grievance is resolved within 21
days.
If the investor’s complaint is not redressed satisfactorily, one may
lodge a complaint with SEBI on SEBI’s SCORES portal, a centralised
web-based complaint.
Redressal system. SEBI takes up the complaints registered via SCORES
with the concerned intermediary for timely redressal. SCORES
facilitates tracking the status of the complaint.
Regarding physical complaints, investors may send their complaints to
the 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.
DO's for Investors:
Always deal with SEBI-registered Research Analysts.
Always pay attention towards disclosures made in the research reports
before investing.
Ensure that the Research Analyst has a valid registration certificate.
Check for the SEBI registration number.
Please refer to the list of all SEBI registered Research Analysts
which is available on the SEBI website at the following link:
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
Always pay attention towards disclosures made in the research reports
before investing.
Pay your Research Analyst through banking channels only and maintain
duly signed receipts mentioning the details of your payments.
Before buying securities or applying for 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 the recommendation.
Inform SEBI about Research Analyst offering assured or guaranteed
returns.
Read and understand the documents carefully before investing.
Know about the Investor Grievance Redressal Mechanism.
Know the risks involved before investing.
Keep track of account statements and promptly bring any discrepancy
noticed to the concerned stock exchange, intermediary or Asset
Management Company.
Know about various fees, charges, margins, premium, etc. involved in
the transactions.
Preserve relevant transaction related documents.
DONT's for Investors:
Do not provide funds for investment to the Research Analyst.
Don’t fall prey to luring advertisements or market rumours.
Do not get attracted to limited-period discounts or other incentives,
gifts, etc. offered by the Research Analyst.
Do not share login credentials and passwords of your trading and demat
accounts with the Research Analyst.
Don't make payments in cash while making any investment in securities
market, beyond the prescribed limit.
Don't share your critical information like account details, login ids,
passwords, DIS, etc. with anyone.