DISPLAY OF DETAILS ON WEBSITE AND IN OTHER COMMUNICATION CHANNELS
The IAs shall display the following information prominently on its website, mobile app, printed or electronic materials, know your client forms, client agreements and other correspondences with the clients:
- Complete name of Investment Adviser as registered with SEBI,
- Type of Registration-Individual, Non-Individual,
- Registration number, validity of registration,
- Complete address with telephone numbers,
- Name of the Principal Officer –contact no, email id etc.
- Corresponding SEBI regional/local office address.
- Investor Grievance Complaint Status – all complaints including SCORES complaints received by them. The information shall be made available by 07th of the succeeding month.
- Investor Charter
- Disclosures
- Annual Compliance Audit Report
- Grievance Redressal Process
- Logo/Brand Name of the Company
- Name of the Compliance Officer –contact no, email id etc.
- Name of the Grievance Officer –contact no, email id etc.
- Escalation Matrix
- Standard Disclaimers :
“Investment in securities market is subject to market risks. Read all the related documents carefully before investing”
“Registration granted by SEBI, enlistment with IAASB and certification from NISM in no way guarantee performance of the IA or provide any assurance of returns to investors”.