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Investor Charter

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.
  • 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.

Types of Services

  • Onboarding of Clients
  • Disclosure to Clients: To 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.

Investor Grievance Redressal


In case of any grievance / complaint against the research analyst: Please contact Compliance Officer of the research analyst Roland Pimenta / Email ID: compliance@capitalgateadvisors.in


You may also approach Director, Karthik Athreya/ Email ID: ka@capitalgateadvisors.in and Phone No:
+91 9920543586.


If not satisfied with the response of the research analyst you can lodge your grievances with SEBI at http://scores.gov.in or you may also write to any of the offices of SEBI. For any queries, feedback or assistance, please contact SEBI Office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575. 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.


Responsibilities of investors


Do's

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


Don'ts

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