Investor Charter

A. Vision and Mission Statements for Investors

Vision: Invest with knowledge & safety.

Mission: Every investor should be able to invest in the 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 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
To conduct an audit annually
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts
To maintain records of interactions with all clients, including prospective clients (prior to onboarding), where any conversation related to the research services has taken place

C. Details of services provided to investors (No Indicative Timelines)

Onboarding of Clients

Sharing of terms and conditions of research services
Completing KYC of fee-paying clients

Disclosure to Clients

To disclose information that is material for the client to make an informed decision, including details of its business activity, disciplinary history, the terms and conditions of research services, details of associates, risks and conflicts of interest, if any
To disclose the extent of use of Artificial Intelligence tools in providing research services
To disclose, while distributing a third-party research report, any material conflict of interest of such third-party research provider, or provide the web address that directs a recipient to the relevant disclosures
To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst

To distribute research reports and recommendations to clients without discrimination
To maintain confidentiality with respect to publication of the research report until made available in the public domain
To respect the data privacy rights of clients and take measures to protect unauthorised use of their confidential information
To disclose the timelines for the services provided to clients and ensure adherence to the said timelines
To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products/services
To treat all clients with honesty and integrity
To ensure confidentiality of information shared by clients, unless required to be provided in furtherance of discharging legal obligations or the client has provided specific consent to share such information

D. Details of grievance redressal mechanism and how to access it

An investor may approach the Research Analyst directly, who shall strive to redress the grievance immediately, but not later than 21 days of receipt.

Mode of filing a complaint on SCORES or with RAASB

SCORES 2.0 - a web-based centralised grievance redressal system of SEBI (scores.sebi.gov.in). Two-level review: first by the designated body (RAASB), then by SEBI itself.
Email to the designated email ID of RAASB

If unsatisfied with the resolution, the investor has the option to file the complaint on the SMART ODR platform for resolution through online conciliation or arbitration (smartodr.in).

With regard to physical complaints:
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 - 400051

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 & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of the timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to timely redressal
Right to Exit from a financial product or service in accordance with agreed terms and conditions
Right to receive clear guidance and caution notice when dealing in complex and high-risk financial products and services
Additional rights to vulnerable consumers - including access to services in a suitable manner even if differently abled
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 Investors

Do's

Always deal with a SEBI registered Research Analyst.
Ensure the Research Analyst has a valid registration certificate.
Check the SEBI registration number on the SEBI website.
Always pay attention to disclosures made in research reports before investing.
Pay your Research Analyst through banking channels only, and maintain duly signed receipts.
Check for the research recommendation before buying/selling securities or applying in a public offer.
Ask all relevant questions and clear doubts before acting on a recommendation.
Seek clarification on recommendations involving complex or high-risk products.
Know you have the right to stop the service as per agreed terms.
Know you have the right to provide feedback.
Know you are not bound by any clause that contravenes regulatory provisions.
Inform SEBI about any Research Analyst offering assured or guaranteed returns.

Don'ts

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, incentives, or gifts.
Do not share login credentials or passwords of your trading, demat, or bank accounts with the Research Analyst.

Registration & Compliance Officer

Easy Trade Insights is a SEBI Registered Research Analyst - Reg. No. INH000022419.

Compliance Officer

Vivek Soni

Proprietor, Easy Trade Insights
Email: rwaint@easytradeinsights.in
Phone: +91 98936 92929

For grievance redressal, contact the same details above, or use SCORES / SMART ODR as described in Section D.