Annexure- B
Complaint Data
Annexure- A
Investor Charter in respect of Investment Adviser (IA)
Data for the month ending - Sep 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.
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
Nov 2022
Dec 2022
Jan 2023
Feb 2023
Mar 2023
May 2023
Jun 2023
Jul 2023
Sep 2023
Aug 2023
Apr 2023
Oct 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
5.
2022-23
*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
3.
FY 2022-23
Conducted