Investor Charter

Investor Charter in respect of Research Analyst (RA)

Vision & Mission

Enable every investor to participate in the market with knowledge, confidence, and safety.

Help investors choose suitable research and trading strategies based on their goals, understand risks clearly, and access transparent and timely insights for better financial well-being.

Services & Disclosures to Investors

Services to Investors

  • Sharing complete terms and conditions of research services.
  • Completing KYC for fee-paying clients.
  • Providing research reports and recommendations without discrimination.

Disclosures to Investors

  • Business activities and relevant background.

  • Conflicts of interest, if any.

  • Use of AI/automation in research, where applicable.

  • Risks associated with complex or high-risk products.

  • Timelines for service delivery and communication.

  • Data privacy measures and confidentiality commitments.

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Business Conduct as a SEBI-Registered Research Analyst

Publishing independent and unbiased research reports.
Providing recommendations without hidden agenda or conflict of interest.
Disclosing financial interests, if any, in recommended securities.
Using publicly available information and observed market data in research.
Complying with SEBI regulations, audits, and advertisement guidelines.
Maintaining proper records of client interactions and communications.

Rights of Investors

Golden Bitcoin coins on a fluctuating stock market chart background.

Investors have the right to

  • Privacy and confidentiality
  • Transparent and fair practices
  • Adequate information and disclosures
  • Clear and true advertisements
  • Awareness about service timelines

Responsibilities of Investors – Do’s

  • Deal only with SEBI-registered Research Analysts.
  • Verify SEBI registration details on the SEBI website.
  • Read all disclosures before acting on Recommendation
  • Pay fees only through official banking channels.
  • Ask questions and clarify doubts before acting.
  • Inform SEBI about any misleading or assured-return claims.
Investors also have the right to
  • Be heard and receive timely redressal
  • Exit services as per agreed terms
  • Clear caution notice for high-risk products
  • Provide feedback on services
  • Protection from coercive or unfair clauses
Responsibilities of Investors – Don’ts
  • Do not transfer funds to the Research Analyst for investing on your behalf.
  • Do not share trading, demat, or bank login credentials.
  • Do not fall for luring offers, gifts, or unrealistic returns.
  • Do not rely on unverified communication claiming to represent us.

Responsibilities of Investors (Do’s & Don’ts)

Responsibilities of Investors – Do’s

  • Deal only with SEBI-registered Research Analysts.
  • Verify SEBI registration details on the SEBI website.
  • Read all disclosures before acting on recommendations.
  • Pay fees only through official banking channels.
  • Ask questions and clarify doubts before acting.
  • Inform SEBI about any misleading or assured-return claims.

Responsibilities of Investors – Don’ts

  • Do not transfer funds to the Research Analyst for investing on your behalf.
  • Do not share trading, demat, or bank login credentials.
  • Do not fall for luring offers, gifts, or unrealistic returns.
  • Do not rely on unverified communication claiming to represent us.

Rights of Investors

Grievance Redressal Mechanism

If you have a grievance related to our research services:

📧 info@marketmoodwithsudhanshu.com
📞 7007665401
We aim to resolve all complaints within 21 days.

If you are not satisfied with our response, you may lodge a complaint on:

https://scores.sebi.gov.in

  • First review by the designated body (RAASB)

  • Second review by SEBI

For online dispute resolution, you may use:
https://smartodr.in/

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