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Annexure- B

Complaint Data

Annexure- A

Investor Charter in respect of Investment Adviser (IA)

Data for the month ending - Jan 2023

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.

Sep 2022

Aug 2022

Jul 2022

Jun 2022

May 2022

Apr 2021

Mar 2021

Feb 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

Oct 2022

Nov 2022

Dec 2022

Jan 2023

*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

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