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Annexure- B

Complaint Data

Annexure- A

Investor Charter in respect of Investment Adviser (IA)

Data for the month ending - Sep 2022

Sr. No.

Received

from

Pending at the end of

last month

Received

Resolved*

Total

Pending#

Pending

complaints > 3months

Average

Resolution time^ (in days)

1.

2.

3.

Directly

from

Investors

SEBI

(SCORES)

Other

Sources

(if any)

Grand Total

0

0

0

0

0

0

0

0

n/a

n/a

n/a

n/a

0

0

0

0

0

0

0

0

n/a

n/a

n/a

n/a

^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by 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.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

May 2022

April 2022

Mar 2022

Feb 2022

Jan 2022

Oct 2021

Sep 2021

Aug 2021

Grand Total

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

n/a

0

n/a

0

n/a

0

0

n/a

n/a

0

n/a

0

n/a

0

n/a

0

n/a

0

n/a

0

0

0

n/a

0

0

0

n/a

0

0

0

n/a

0

Jun 2022

Jul 2022

Aug 2022

Sep 2022

*Inclusive of complaints of previous months resolved in the current month.

#Inclusive of complaints pending as on the last day of the month.

Trend of annual disposal of complaints

Sr. No.

Year

Carried forward from

previous year

Received

Resolved*

Pending#

1.

2018-19

0

0

n/a

0

2.

2019-20

0

n/a

0

3.

2020-21

0

n/a

0

0

n/a

0

0

0

0

4.

2021-22

0

n/a

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.

Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under :

Sr. No.

Financial Year

Compliance Audit Status

Remarks, If any

1.

2.

FY 2020-21

FY 2021-22

Conducted

Conducted