Investor Charter - Tips Mandi

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. 

Details of business transacted by the Research Analyst with respect 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. • To conduct an audit 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 with respect to the 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 concerned research analyst and shall ensure that the grievance is resolved within 30 days. 

If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s SCORES portal which is a  centralized 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. 

With regard to 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. 

Expectations from the investors (Responsibilities of investors) 

Do’s 

  • Always deal with SEBI registered Research Analysts. 
  • 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 to 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 the 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 Analysts offering assured or guaranteed returns. 

Dont’s  

  • 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 Research Analysts.
  • Do not share login credentials and passwords of your trading and Demat accounts with the Research Analyst.
  • Details of Complaints 

Data for the month ending – January 2022 

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. Investor/Clients 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

Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by a total number of complaints resolved in the current month 

Trend of monthly disposal of complaints 

Sr. No                  Month            Carried forward from previous month    Received     Resolved*              Pending# 

  1                      January                                   0                                                  0                  0                             0

*Inclusive of complaints of previous months resolved in the current month.  #Inclusive of complaints pending as on the last day of the month.

The trend of annual disposal of complaints 

Sr. No                  Month            Carried forward from previous month    Received     Resolved*              Pending# 

  1                       2022                                  0                                                  0                  0                             0

*Inclusive of complaints of previous months resolved in the current month.  #Inclusive of complaints pending as on the last day of the month.

Compliant redressal and scores process 

Client’s queries/complaints may arise due to lack of understanding or a deficiency of service experienced by clients. Deficiency of service may include lack of explanation, clarifications, understanding which escalates into shortfalls in the expected delivery standards, either due to inadequacy of facilities available or through the attitude of staff towards the client. 

  1. Clients can seek clarification to their query and are further entitled to make a complaint in writing, orally or telephonically. An email may be sent to the Client Servicing Team at [email protected] Alternatively, the Investor may call on 8800404510
  2. A letter may also be written with their query/complaint and can write to the research analyst at info@tipsmandi.com if the Investor does not receive a response within 10 business days of writing to the Client Servicing Team. The client can expect a reply within 10 business days of approaching the research analyst. 
  3. In case you are not satisfied with our response, you can lodge your grievance with SEBI at http://scores.gov.in or you may also write to any of the offices of SEBI. SCORES may be accessed through SCORES mobile application as well, same can be downloaded from the below  link: https://play.google.com/store/apps/details?id=com.ionicframework.sebi236330