Annexure- B
Complaint Data
Annexure- A
Investor Charter in respect of Investment Adviser (IA)
Data for the month ending - Nov 2024
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.
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
Dec 2023
Jan 2024
Feb 2024
Mar 2024
May 2024
Jun 2024
Jul 2024
Sep 2024
Aug 2024
Apr 2024
Nov 2024
Oct 2024
*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.
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
5.
2022-23
2023-24
*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 2021-22
Conducted
Conducted
FY 2022-23
3.
Conducted
FY 2023-24
For any complaints/grievances you can follow the following steps:
Step 1: Send an email to ankur@plutuscapital.co.
Step 2: If the client’s issue is unresolved after a period of 10 working days from the date of first raising the issue or if the client is not satisfied with the response received from us, post completion of a 10-working day period from the date of first raising the issue at Step 1, client may write to the Principal Officer at:
Mr. Ankur Kapur,
Principal Officer,
Plutus Capital
9B Shivalik Apartment 32 Sector 6,
Dwarka, New Delhi-110075
Mobile: 9899581185
Step 3: If the complaint is not resolved by Principal Officer within a period of 15 working days from the date of such issues first being raised at the Step 2, or if the customer is not satisfied with grievance redressal, the customer may, after completion of 15 working days after the issue was first raised at step 2, approach SEBI at: https://scores.sebi.gov.in/scores-home for complaint registration.
ODR Portal could be accessed, if unsatisfied with the response. Your attention is drawn to the SEBI circular no.SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”. A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established. ODR Portal can be accessed via the following link: https://smartodr.in/