Investor Charter

Research Analyst (RA) Services & Investor Protection

1. Vision and Mission Statements

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in the right investment products based on their needs, manage and monitor them to meet their goals, access reports, and enjoy financial wellness.

2. Business Transacted

Publish research reports based on the research activities of the Research Analyst.
Provide an independent and unbiased view on securities.
Offer unbiased recommendations while disclosing financial interests in recommended securities.
Provide research recommendations based on analysis of publicly available information and known observations.
Conduct an annual audit.
Ensure that all advertisements adhere to the Advertisement Code for Research Analysts.
Maintain records of interactions with all clients, including prospective clients prior to onboarding, where conversations related to research services have taken place.

3. Services Provided

Onboarding of Clients
Sharing the terms and conditions of research services.
Completing KYC of fee-paying clients.
Disclosure to Clients
Disclose information that is material for clients to make an informed decision, including details of business activities, disciplinary history, terms and conditions of research services, associates, risks and conflicts of interest, if any.
Disclose the extent of use of Artificial Intelligence tools in providing research services.
While distributing a third-party research report, disclose any material conflict of interest of the third-party research provider or provide the web address directing recipients to the relevant disclosures.
Disclose any conflict of interest between research services and other activities of the Research Analyst.
Distribute research reports and recommendations to clients without discrimination.
Maintain confidentiality with respect to the publication of research reports until they are made available in the public domain.
Respect clients' data privacy rights and take measures to prevent unauthorized use of confidential information.
Disclose timelines for services provided by the Research Analyst and ensure adherence to those timelines.
Provide clear guidance and adequate caution notices when providing recommendations involving complex and high-risk financial products or services.
Treat all clients with honesty and integrity.
Maintain confidentiality of information shared by clients unless disclosure is required to fulfill legal obligations or the client has provided specific consent to share such information.

4. Grievance Redressal Mechanism

1. Research Analyst

Contact the Research Analyst directly. Grievances will be addressed within 21 days.

2. SCORES 2.0 / RAASB

File complaints through SEBI’s centralized grievance platform.

3. SMART ODR

If unresolved, use SMART ODR for online conciliation or arbitration.

Physical Complaints:

Office of Investor Assistance and Education, SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051.

5. Rights of Investors -

Privacy & Confidentiality
Transparent & Fair Practices
Adequate Information
Fair & True Advertising
Timely Service & Disclosures
Grievance Redressal
Right to Exit
Guidance for Complex & High-Risk Products
Right to Provide Feedback
Protection Against Unfair Clauses
Access to Services for Vulnerable Consumers

6. Investor Responsibilities

Do's

Always deal only with a SEBI-registered Research Analyst.
Ensure that the Research Analyst has a valid registration certificate.
Check the SEBI registration number.
Refer to the list of SEBI-registered Research Analysts available on the SEBI website.
Always pay attention to disclosures made in research reports before investing.
Pay the Research Analyst through banking channels only and maintain duly signed receipts mentioning payment details.
Fee-paying clients may make payment of fees through the Centralized Fee Collection Mechanism (CeFCoM) of RAASB, if the Research Analyst has opted for the mechanism.
Before buying or selling securities or applying for a public offer, check the research recommendation provided by your Research Analyst.
Ask all relevant questions and clear your doubts with your Research Analyst before acting on any recommendation.
Seek clarification and guidance on research recommendations, especially when recommendations involve complex and high-risk financial products and services.
Always be aware that you have the right to stop availing the services of a Research Analyst as per the agreed terms of service.
Always be aware that you have the right to provide feedback to your Research Analyst regarding the services received.
Always be aware that you will not be bound by any clause prescribed by the Research Analyst that contravenes regulatory provisions.
Inform SEBI about any Research Analyst offering assured or guaranteed returns.

Don'ts

Do not provide funds for investment to the Research Analyst.
Do not fall prey to luring advertisements or market rumors.
Do not get attracted to limited-period discounts, incentives, gifts or similar offers provided by the Research Analyst.
Do not share login credentials or passwords of your trading, demat or bank accounts with the Research Analyst.

Investor Awareness

Invest with Knowledge. Invest with Safety.

Research services are intended to help investors make informed decisions. Investors should carefully review research reports, disclosures, risks, terms and conditions before making any investment decision.

Remember: Investment decisions should always be made after considering your individual financial objectives, risk appetite and circumstances.

Green Candle Research Academy is a SEBI Registered Research Analyst firm dedicated to data-backed derivative research and strict risk-managed trading strategies.

SEBI Reg No: INH000019053

BSE Enlistment No: 6458

GST No. : 09ABBFG6236E1ZJ

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Statutory Warning: Investment in securities market are subject to market risks. Read all the related documents carefully before investing. Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.

Disclaimer: All research reports and recommendations issued by Green Candle Research Academy are for educational and informational purposes only. Past performance is not indicative of future returns. We do not provide assured returns or profit-sharing services.