- OUR VISION
To protect the interests by enabling them to understand the risks involved and invest in fair, transparent, secure market, and to get services in a timely and efficient manner.
- OUR MISSION
To have streamlined procedures to ensure ease of transacting/investing in securities market for investors.
To ensure that SEBI registered intermediaries/regulated entities adhere to their investor charters, including grievance redressal mechanism.
To enable investors to understand risks involved before investing.
To ensure fair and equitable treatment to investors.
To ensure confidentiality of information shared by investors unless such information is required to be provided in furtherance of discharging legal obligations or investors have provided specific consent to share such information.
To analyse the causes of investor grievances on a periodic basis and make appropriate policy amendments if required.
To provide for alternative dispute resolution mechanism in agreements between investors and Market Infrastructure Institutions / Intermediaries.
To encourage innovative and digital solutions in securities market.
- Research Report Publication: We publish research reports based on our analysis and activities.
- Independent Analysis: We provide unbiased views on securities.
- Transparent Recommendations: We offer unbiased recommendations and disclose any financial interests in the recommended securities.
- Research Basis: Our recommendations are based on the analysis of publicly available information and known observations.
- Annual Audits: We conduct annual audits to ensure adherence to standards.
- Client Onboarding: Assisting with the onboarding process for new clients.
- Client Disclosure: Providing necessary disclosures to clients.
- Report Distribution: Distributing research reports and recommendations to clients impartially.
- Confidentiality: Maintaining confidentiality regarding research reports until they are publicly available.
- Initial Contact: For grievances or complaints, investors should contact the concerned research analyst at [support@sfpresearch.in]. We will aim to resolve the grievance within 30 days.
- Escalation to SEBI: If the complaint is not satisfactorily resolved, investors may lodge a complaint with SEBI via the SCORES portal (http://scores.gov.in), which is a centralized web-based system for complaint redressal. SCORES allows for tracking the status of complaints.
- Physical Complaints: Investors may also send physical complaints to:
Office of Investor Assistance and Education
Securities and Exchange Board of India (SEBI)
SEBI Bhavan, Plot No. C4-A, ‘G’ Block
Bandra-Kurla Complex, Bandra (E)
Mumbai - 400 051
Do’s for Investors:
- Verify Registration: Deal only with SEBI-registered Research Analysts and ensure they have a valid registration certificate. Check for the SEBI registration number.
- Check the SEBI List: Refer to the list of SEBI-registered Research Analysts on the SEBI website: [SEBI Research Analysts List] (https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14)
- Review Disclosures: Pay attention to disclosures made in research reports before investing.
- Payment Channels: Make payments to your Research Analyst through banking channels and keep signed receipts with payment details.
- Consult Recommendations: Review research recommendations provided by your Research Analyst before purchasing securities or applying for public offers.
- Ask Questions: Clarify any doubts with your Research Analyst before acting on their recommendations.
- Report Misconduct: Inform SEBI if a Research Analyst offers assured or guaranteed returns.
- Read and understand the documents carefully before investing.
- Know about the Investor Grievance Redressal Mechanism.
- Know the risks involved before investing.
- Keep track of account statements and promptly bring any discrepancy noticed to the concerned stock exchange, intermediary or Asset Management Company.
- Know about various fees, charges, margins, premium, etc. involved in the transactions.
- Preserve relevant transaction related documents.
Dont's for Investors:
- Avoid Direct Funds: Do not provide investment funds directly to the Research Analyst.
- Beware of Ads and Rumors: Do not be swayed by enticing advertisements or market rumors.
- Reject Incentives: Avoid being attracted to limited-time discounts, incentives, or gifts offered by Research Analysts.
- Protect Credentials: Do not share your trading and demat account login credentials or passwords with the Research Analyst.
- Don't make payments in cash while making any investment in securities market, beyond the prescribed limit.
- Don't share your critical information like account details, login ids, passwords, DIS, etc. with anyone.
Get fair and equitable treatment.
Expect redressal of investor grievances filed in SCORES in a time bound manner.
Get quality services from SEBI recognized Market Infrastructure Institutions and SEBI registered intermediaries/regulated entities/ Asset Management Companies including right to exit at fair and reasonable terms from the securities market related product or service and avail Online Dispute Resolution mechanism for the disputes, if any, arising there from.
Deal with SEBI recognized Market Infrastructure Institutions and SEBI registered intermediaries / regulated entities only.
Update their contact details like address, mobile number, email address, nomination, etc. and other key KYC details in case of any change.
Ensure that grievances are taken up with the concerned entities within time limits prescribed.
Ensure that their accounts are operated only for their own benefit.
Research Analysts are required to disclose complaint data monthly on their website or mobile application, including the format for investor complaints.
