Investor Charter

Research Analyst (RA) Services & Investor Protection

1. Vision and Mission Statements

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.

2. Business Transacted

  • Publish research reports based on RA activities.
  • Provide independent, unbiased views on securities.
  • Offer unbiased recommendations with full financial interest disclosures.
  • Analyze public information and known observations.
  • Conduct annual audits for compliance.
  • Adhere to SEBI Advertisement Code.
  • Maintain records of all client interactions.

3. Services Provided

  • To disclose, while distributing a third-party research report, any material conflict of interest of such third-party research provider or provide 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 the clients without discrimination.
  • To maintain confidentiality w.r.t. the publication of the research report until made available in the public domain.
  • To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information
  • To disclose the timelines for the services provided by the research analyst 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 such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.

4. Grievance Redressal Mechanism

1

Contact Research Analyst

Approach the RA directly. Redressal within 21 days.

2

SCORES 2.0 / RAASB

File online via SEBI's centralized portal.

Visit SCORES 2.0
3

SMART ODR

Online conciliation or arbitration if unresolved.

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, Mumbai – 400 051

5. Rights of Investors

Privacy & Confidentiality
Transparent Practices
Fair Treatment
Adequate Information
True Advertising
Grievance Redressal
Right to Exit
Provide Feedback

Right to Initial and Continuing Disclosure

  • Right to receive information about all the 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 have timely redressal
  • Right to Exit from Financial product or service in accordance with the terms and conditions agreed with the research analyst
  • Right to receive clear guidance and caution notice 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 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

6. Investor Responsibilities

Do’s

  • Deal only with SEBI-registered RAs.
  • Verify registration on SEBI website.
  • Read all disclosures carefully.
  • Pay only through banking channels.
  • Before buying/selling 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.
  • Seek clarifications and guidance on research recommendations from your research analyst, especially if it involves complex and high-risk financial products and services.
  • Always be aware that you have the right to stop availing the service of a research analyst as per the terms of service agreed upon 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 the research analyst offering assured or guaranteed returns.

Don’ts

  • Do not provide funds for investment to RA.
  • Don’t fall for luring advertisements.
  • Avoid limited-period discount traps.
  • Never share login credentials or passwords.

Proven Results

Industry-Leading Outcomes

Our comprehensive capital markets education delivers measurable career advancement and professional achievement for finance professionals worldwide

5000+
Active Professionals Trained
95%
Certification Success Rate
18
Months to Senior Position
150+
Industry Partners

© 2024 UFL Capital Markets. All rights reserved.