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Disclosure |
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Lodge a Complaint |
Status of Complaints |
Scores portal
Disclosure
Smart-Investing.in is a venture by Mr. Rohit Katiyar (henceforth referred to as the founder) who is a SEBI registered Research Analyst under the SEBI (Research Analyst) Regulations with registration number INH000007377.
Business Activities
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List of Associates/Relatives:
1. Spouse : Mrs. Akanksha Singh
Disclosure with regards to ownership and material conflicts of interest:
- The founder/associates/relatives may have a financial interest in this/these stocks as retail investors themselves.
- The founder/associates/relatives don't have actual/beneficial ownership of one percent or more in these securities.
- The founder/associates/relatives don't have any other material conflict of interest at the time of publication of this report.
Disclosure with regards to receipt of compensation:
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Disciplinary History:
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Terms & Conditions
Investor Charter (Research Analyst)
A. Vision and Mission Statements for investors
Vision
Invest with knowledge & safety.
Mission
Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.
B. Details of business transacted by the Research Analyst with respect to the investors.
ā¢ To publish research report based on the research activities of the RA.
ā¢ To provide an independent unbiased view on securities.
ā¢ To offer unbiased recommendation, disclosing the financial interests in recommended securities.
ā¢ To provide research recommendation, based on analysis of publicly available information and known observations.
ā¢ To conduct audit annually.
C. Details of services provided to investors
ā¢ Onboarding of Clients
ā¢ Disclosure to Clients
o To distribute research reports and recommendations to the clients without discrimination.
o To maintain confidentiality w.r.t publication of the research report until made available in the public domain.
D. Details of grievance redressal mechanism and how to access it
In case of any grievance / complaint, an investor should approach the concerned research analyst and shall ensure that the grievance is resolved within 30 days.
If the investorās complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBIās SCORES portal which is a centralized web-based complaints
redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.
With regard to physical complaints, investors may send their complaints to: Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan. Plot No. C4-A, āGā Block, Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051.
E. Expectations from the investors (Responsibilities of investors)
Doās
i. Always deal with SEBI registered Research Analyst.
ii. Ensure that the Research Analyst has a valid registration certificate.
iii. Check for SEBI registration number.
iv. Please refer to the list of all SEBI registered Research Analysts which is available on SEBI website in the following link:
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
v. Always pay attention towards disclosures made in the research reports before investing.
vi. Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments.
vii. Before buying securities or applying in public offer, check for the research recommendation provided by your research Analyst.
viii. Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
ix. Inform SEBI about Research Analyst offering assured or guaranteed returns.
Donāts
I. Do not provide funds for investment to the Research Analyst.
II. Donāt fall prey to luring advertisements or market rumours.
III. Do not get attracted to limited period discount or other incentive, gifts, etc. offered by Research Analyst.
IV. Do not share login credentials and password of your trading and demat accounts with the Research Analyst.
Lodge a Complaint
Clientās queries / complaints may arise due to lack of understanding or a deficiency of service experienced by clients.
Deficiency of service may include lack of explanation, clarifications, understanding which escalates into shortfalls in the expected delivery standards, either due to inadequacy of facilities available or through the attitude of staff towards client.
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An email may be sent to the Customer Support Team on support@smart-investing.in with the subject line "Complaint".
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Smart-Investing.in, #15A, 4th Floor, City Vista, Tower A,
Suite No.984, Fountain Road,
Kharadi, Pune - 411014
3. You may write to the research analyst at rohit@smart-investing.in if you do not receive a response within 10 business days of writing to the Customer Support Team.
You can expect a reply within 10 business days of approaching research analyst.
4. In case you are not satisfied with our response, you can lodge your grievance with SEBI at http://scores.gov.in
or you may also write to any of the offices of SEBI.
SCORES may be accessed thorough SCORES mobile application as well, same can be downloaded from this link.
Status of Complaints
Data for the month ending Jan 2024
No | Received from | Pending at the end of last month | Received | Resolved | Total Pending | Pending Complaints > 3 months | Average Resolution time^ (in days) |
---|---|---|---|---|---|---|---|
1 | Directly from Investors | 0 | 0 | 0 | 0 | 0 | NA |
2 | SEBI(Scores) | 0 | 0 | 0 | 0 | 0 | NA |
3 | Other Sources(if any) | 0 | 0 | 0 | 0 | 0 | NA |
Grand Total | 0 | 0 | 0 | 0 | 0 | NA |
No | Month | Carried forward from previous month | Received | Resolved* | Pending# |
---|---|---|---|---|---|
1 | Feb 2023 | 0 | 0 | 0 | 0 |
2 | Mar 2023 | 0 | 0 | 0 | 0 |
3 | Apr 2023 | 0 | 0 | 0 | 0 |
4 | May 2023 | 0 | 0 | 0 | 0 |
5 | Jun 2023 | 0 | 0 | 0 | 0 |
6 | Jul 2023 | 0 | 0 | 0 | 0 |
7 | Aug 2023 | 0 | 1 | 1 | 0 |
8 | Sep 2023 | 0 | 1 | 1 | 0 |
9 | Oct 2023 | 0 | 1 | 1 | 0 |
10 | Nov 2023 | 0 | 0 | 0 | 0 |
11 | Dec 2024 | 0 | 0 | 0 | 0 |
12 | Jan 2024 | 0 | 0 | 0 | 0 |
Grand Total | 0 | 3 | 3 | 0 |
No | FY | Carried forward from previous year | Received | Resolved* | Pending# |
---|---|---|---|---|---|
1 | 2019-20 | 0 | 0 | 0 | 0 |
2 | 2020-21 | 0 | 0 | 0 | 0 |
3 | 2021-22 | 0 | 0 | 0 | 0 |
4 | 2022-23 | 0 | 3 | 3 | 0 |
5 | 2023-24 | 0 | 3 | 3 | 0 |
Grand Total | 0 | 6 | 6 | 0 |