Investor Charter

A. Vision and Mission Statements for Investors

Vision

Invest with knowledge & safety.

Mission

Every investor should be empowered to invest in the right financial products based on their individual needs, manage and monitor their investments effectively to achieve their financial goals, access quality research reports, and enjoy long-term financial wellness.

B. Details of Business Transacted by the Research Analyst

NiftyPros.in provides research services in accordance with SEBI (Research Analyst) Regulations, including:

• Publishing research reports based on independent research activities

• Providing an independent and unbiased view on securities

• Offering recommendations with full disclosure of any financial interest in recommended securities

• Providing research recommendations based on analysis of publicly available information and known observations

• Conducting annual audits as required

• Ensuring advertisements comply with the Advertisement Code for Research Analysts

• Maintaining records of interactions with clients and prospective clients where research services are discussed

C. Details of Services Provided to Investors (No Indicative Timelines)

1. Onboarding of Clients

• Sharing the Terms and Conditions of research services

• Completing KYC of fee-paying clients

2. Disclosures to Clients

NiftyPros.in shall disclose to its clients:

• All material information required for making an informed decision, including:

  • Business activities

  • Disciplinary history

  • Terms and conditions of research services

  • Details of associates

  • Risks and conflicts of interest (if any)

• The extent of use of Artificial Intelligence (AI) tools, if any, in providing research services

• While distributing third-party research reports, any conflict of interest of such third-party provider or a web address directing clients to relevant disclosures

• Any conflict of interest arising between research services and other activities of the Research Analyst

3. Service Standards

NiftyPros.in commits to:

• Distribute research reports and recommendations without discrimination

• Maintain confidentiality of research reports until made public

• Respect client data privacy and protect confidential information

• Disclose service timelines and ensure adherence

• Provide clear guidance and caution notices for complex and high-risk financial products

• Treat all clients with honesty and integrity

• Ensure confidentiality of client information unless disclosure is required by law or with client consent

D. Grievance Redressal Mechanism & How to Access It

1. Complaint with Research Analyst

Investors may approach NiftyPros.in directly.
All grievances shall be resolved within 21 days from receipt.

2. SCORES & RAASB

If unresolved, complaints may be lodged through:

• SCORES 2.0 (SEBI’s grievance redressal system)
  👉 https://scores.sebi.gov.in

Two-level review system:

• First review by RAASB

• Second review by SEBI

• Email to the designated email ID of RAASB

3. SMARTODR Platform

If not satisfied, investors may file a complaint on the SMARTODR platform for online conciliation or arbitration.

4. Physical Complaints

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 – 400051

E. Rights of Investors

Investors have the right to:

• Privacy and confidentiality

• Transparent practices

• Fair and equitable treatment

• Adequate and accurate information

• Initial and continuing disclosures

• Fair and truthful advertisements

• Awareness of service parameters and turnaround times

• Being heard and receiving satisfactory grievance redressal

• Timely resolution of complaints

• Exit from services as per agreed terms

• Clear guidance when dealing in complex/high-risk products

• Additional rights for vulnerable investors (including differently-abled access)

• Provide feedback on services

• Protection against coercive or unfair contractual clauses

F. Expectations from Investors (Responsibilities of Investors)

✅ Do’s

• Always deal with SEBI registered Research Analysts

• Verify SEBI Registration Certificate and Registration Number

• Check the list of registered Research Analysts at:
  👉 https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14

• Read disclosures carefully before investing

• Make payments only through banking channels and obtain receipts

• Verify recommendations before trading

• Ask questions and clear doubts before acting

• Seek guidance for complex/high-risk products

• Exercise your right to stop services as per agreed terms

• Provide feedback on services

• Report clauses violating regulatory provisions

• Inform SEBI if assured or guaranteed returns are offered

❌ Don’ts

• Do not give funds for investment to the Research Analyst

• Do not fall for misleading advertisements or rumors

• Do not be attracted by discounts, gifts, or incentives

• Do not share trading/demat/bank login credentials with anyone

✅ This Investor Charter is issued in compliance with SEBI (Research Analyst) Regulations and is applicable to all clients of NiftyPros.in.