INVESTOR CHARTER – Financial Sarthis
Vision :
Invest with knowledge and safety.
Mission :
To empower every investor to :
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Choose the right investment products based on their needs
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Monitor and manage their investments effectively
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Achieve financial wellness through informed decisions and transparent insights
Services by the Research Analyst for Investors
As a SEBI Registered Research Analyst (INH000017091)
BSE Enlistment No : 6253
Financial Sarthis provides :
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Unbiased, independent research reports
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Transparent investment recommendations
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Research based solely on publicly available information
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Disclosure of any financial interest in recommended securities
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Annual audits for compliance
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Transparent and compliant advertisements
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Record-keeping of all client interactions (including pre-onboarding communication)
Services Provided to Investors
(No Fixed Timelines)
Onboarding Process :
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Share Terms & Conditions clearly
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Complete KYC of paying
Clients
Disclosures to Clients :
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Business activities, conflict of interest, disciplinary history
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Use of Artificial Intelligence tools (if any)
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Disclosure during third-party research distribution
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Ensure client confidentiality unless legally obligated to share
Report & Recommendation Delivery :
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Equal access to all subscribed clients
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Maintain privacy and data security
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Timely distribution of reports
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Caution notices for complex/high-risk recommendations
Client Communication
Ethics :
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Honest, unbiased, and timely service
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Maintain confidentiality unless consent is provided
Grievance Redressal Mechanism
How to File a Complaint with Financial Sarthis :
You may reach out via WhatsApp or email at sarthisfinancial@gmail.com
We aim to resolve all grievances within 21 days.
Other Channels for Complaints :
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SCORES 2.0 (SEBI’s Online Grievance Portal)
🔗 https://scores.sebi.gov.in -
Escalation Process:
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First Level: RAASB (Research Analyst Administration & Supervisory Body)
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Second Level: SEBI
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SMART ODR Platform:
If unsatisfied with the resolution, file for online arbitration/conciliation via SEBI’s SMART ODR.
Responsibilities of Investors (Investor Expectations)
✅Do’s:
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Verify SEBI Registration (INH000017091)
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BSE Enlistment No : 6253
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Always ask for receipts and pay through banking channels
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Read research reports carefully
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Ask questions, clarify doubts before acting
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Use Centralized Fee Collection (CeFCoM) if applicable
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Stay updated with official SEBI announcements and advisories
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Provide feedback and stop services anytime you wish
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Report illegal activities or false return guarantees to SEBI
Rights
of
Investors
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✔ Right to Privacy and Data Security
✔ Right to Clear, Honest & Transparent Services
✔ Right to Understandable Information & Disclosures
✔ Right to Timely Complaint Resolution
✔ Right to Exit Services at Any Time
✔ Right to Fair Advertising and No Misleading Claims
✔ Right to Guidance on Complex Products
✔ Right to Access Services Without Discrimination (including differently-abled users)
✔ Right to Give Feedback Freely