Investor Charter – Research Analyst

• Vision
  Invest with knowledge & safety.
  To provide excellent financial service(s) to our customers and become trustworthy partner in their wealth creation journey.
• 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.

• To publish research report based on the research activities of the RA.
• To provide an independent unbiased view on securities.
• To offer unbiased recommendation, disclosing the financial interests in recommended securities.
• To provide research recommendation, based on analysis of publicly available information and known observations.
• To conduct audit annually

Onboarding of Clients:

• Sharing of KYC copy & Completing KYC of clients
• Provide information & disclosure(s) to the clients

Disclosure to Clients:

• distribute research reports and recommendations to the clients without discrimination
• To maintain confidentiality w.r.t publication of the research report until made available in the public domain.

1. In case of any grievance / complaint, an investor should approach the concerned Research Analyst and shall ensure that the grievance is resolved within 7 (seven) business days.
2. The grievance of the client is understood and every effort is made to resolve the same amicably to the satisfaction of the client;
• In case any client wants to lodge complaint through email then it can be write to us on e-mail id: grievance@goldmine.co.in and/or contact us on phone: 079 26688230 / 217 to grievance redressal team.
• If client is not satisfied with response provided on email, the client can write to compliance officer via email on sukenp@goldmine.co.in and/or call on 079 26688219 or submit physical complaint at;

  ‘Goldmine House’ 4 Niranjan Nirakar Society, Near Shreyas Railway Crossing

  Ahmedabad 380007 Gujarat

• If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s ‘SCORES’ portal https://scores.sebi.gov.in/ 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.
• Investor can initiate dispute resolution through the ODR Portal: https://smartodr.in/login
• 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, ‘G’ Block, Bandra-Kurla Complex, Bandra(E), Mumbai 400-051
• Regional Office Address of SEBI : SEBI Bhavan, Western Regional Office, Panchvati 1st Lane, Gulbai Tekra Road, Ahmedabad 380006

DO’s:

1. Always deal with SEBI registered Research Analyst.
2. Ensure that the Research Analyst has a valid registration certificate.
3. Check for SEBI registration number.
4. 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&intId=14)
5. Always pay attention towards disclosures made in the research reports before investing.
6. Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments.
7. Before buying securities or applying in public offer, check for the research recommendation provided by your Research Analyst.
8. Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
9. Inform SEBI about Research Analyst offering assured or guaranteed returns.

DON’Ts:

1. Do not provide funds for investment to the Research Analyst.
2. Don’t fall prey to luring advertisements or market rumors.
3. Do not get attracted to limited period discount or other incentive, gifts, etc. offered by Research Analyst.
4. Do not share login credential and password of your trading and demat accounts with the Research Analyst.

Disclaimer:

“Investment in securities market are subject to market risks. Read all the related documents carefully before investing”.

“Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provides any assurance of returns to investors”

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