EQUITYPRO
By RGX Research
EQUITYPRO
By RGX Research
EQUITY
PRO
By RGX Research Pvt Ltd.
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INVESTOR CHARTER IN RESPECT OF RESEARCH ANALYST (RA)
A. Vision and Mission Statements for Investors
Vision: Invest with knowledge & safety.
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.
B. Details of business transacted by the Research Analyst with respect to the investors
To publish research report based on the research activities of the Research Analyst.
To provide an independent and unbiased view on securities.
To offer unbiased recommendations while disclosing financial interests in recommended securities.
To provide research recommendations based on analysis of publicly available information and known observations.
To conduct audit annually.
To ensure all advertisements adhere to the Advertisement Code for Research Analysts.
To maintain records of interactions with all clients, including prospective clients, where discussions related to research services have taken place.
C. Details of services provided to investors (No Indicative Timelines)
Services
Onboarding of clients.
Sharing of terms and conditions of research services.
Completing KYC of fee-paying clients.
Disclosure to Clients
Disclosure of all material information required for clients to make informed decisions, including business activities, disciplinary history, risks, conflicts of interest, and associates.
Disclosure of the extent of use of Artificial Intelligence tools in providing research services.
Disclosure of material conflict of interest when distributing third-party research reports or providing a web link to such disclosures.
Disclosure of conflicts of interest between research services and other activities of the Research Analyst.
Distribution of research reports and recommendations without discrimination.
Maintaining confidentiality of research reports until made public.
Respecting data privacy rights and protecting confidential client information.
Disclosure and adherence to service timelines.
Providing clear guidance and caution notices for complex and high-risk financial products or services.
Treating all clients with honesty and integrity.
Ensuring confidentiality of client information unless disclosure is legally required or consented to.
D. Details of grievance redressal mechanism and how to access it
1. Investor can lodge complaint/grievance against Research Analyst in the following ways:
Mode of filing the complaint with research analyst
In case of any grievance / complaint, an investor may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.
Mode of filing the complaint on SCORES or with Research Analyst Administration and Supervisory Body (RAASB)
Two level review for complaint/grievance against Research Analyst:
2. If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.
With regard to physical complaints, investors may send their complaints to:
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
E. 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 and True Advertisement.
Right to Awareness of Service Parameters and Turnaround Times.
Right to be informed of the timelines for each service.
Right to be Heard and to Satisfactory Grievance Redressal.
Right to have timely redressal.
Right to Exit from a Financial product or service in accordance with the terms and conditions agreed with the research analyst.
Right to receive clear guidance and caution notices when dealing in complex and high-risk financial products and services.
Additional Rights for vulnerable consumers – right to get access to services in a suitable manner, including for differently-abled individuals.
Right to provide feedback on the financial products and services used.
Right against coercive, unfair, and one-sided clauses in financial agreements.
F. Expectations from the Investors (Responsibilities of Investors)
Do's
Always deal with SEBI registered Research Analysts.
Ensure the Research Analyst has a valid registration certificate.
Check for SEBI registration number.
Please refer to the list of all SEBI registered Research Analyst which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of fees through Centralized Fee Collection Mechanism (CeFCoM) of RAASB if research analyst has opted for the mechanism. (Applicable for fee paying clients only)
Before buying/ selling securities or applying in 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 recommendation.
Seek clarifications and guidance on research recommendations from your Research Analyst, especially if it involves complex and high risk financial products and services in form SEBI about Research Analyst offering assured or guaranteed returns.
Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed between you and your Research Analyst.
Always be aware that you have the right to provide feedback to your Research Analyst in respect of the services received.
Always be aware that you will not be bound by any clause, prescribed by the research analyst, which is contravening any regulatory provisions.
Inform SEBI about Research Analyst offering assured or guaranteed returns.
Always pay attention towards disclosures made in the research reports before investing.
Don'ts
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 discount or other incentive, gifts, etc. offered by Research Analyst.
Do not share login credentials and password of your trading and demat accounts with the Research Analyst.
EQUITY
PRO
By RGX Research Pvt Ltd.
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Compliance / Grievance Officer:
Name: Ms.Devanshi P. Sheth
Email: compliance@equitypro.co.in
Mobile No.: +91 78620 95870
Principal Officer:
Name: Mr. Ritesh R. Gokani
Email: ritesh.gokani@equitypro.co.in
Mobile No.: +91 70217 09639
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Disclaimer
Investment in securities market are subject to market risks. Read all the related documents carefully before investing.
SEBI registration does not guarantee performance or returns.