Investor Charter
Annexure A: Investor Charter in respect of Research Analysts for House Of Trade.
Vision and Mission
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."
Details of Business Transacted
- Publish research reports based on research activities of the Research Analyst
- Provide independent and unbiased views on securities
- Offer unbiased recommendations with disclosure of financial interests in recommended securities
- Provide recommendations based on publicly available information and known observations
- Conduct annual audits
- Ensure advertisements follow the Advertisement Code for Research Analysts
- Maintain records of all interactions with clients and prospective clients
Details of Services Provided
- Onboarding of clients and sharing of terms and conditions
- KYC completion of fee-paying clients
- Disclosure of business activity, disciplinary history, risks, conflicts of interest, and service terms
- Disclosure of use of Artificial Intelligence tools, if any
- Distribution of research reports without discrimination
- Confidentiality of reports until public release
- Protection of client data privacy and confidential information
- Clear timelines and caution notices for complex and high-risk products
- Honest and fair treatment of all clients
Grievance Redressal
An investor may approach the concerned Research Analyst for any grievance or complaint. House Of Trade will strive to redress the grievance immediately, but not later than 21 days from receipt.
Complaint channels include: SCORES 2.0, RAASB, and SMARTODR platform in case the investor is not satisfied with the resolution.
Physical complaints may also be sent to the Securities and Exchange Board of India, SEBI Bhavan, Bandra Kurla Complex, Mumbai.
Rights of Investors
- Right to privacy and confidentiality
- Right to transparent practices and fair treatment
- Right to adequate information and disclosures
- Right to fair and true advertisement
- Right to service timelines and grievance redressal
- Right to exit in accordance with agreed terms
- Right to clear guidance for complex and high-risk products
- Right against coercive, unfair, or one-sided clauses
- Right to feedback and accessible services
Responsibilities of Investors
Do's: Deal only with SEBI registered Research Analysts, verify registration, read disclosures, use banking channels, seek clarifications, and check recommendations carefully.
Don'ts: Do not provide funds for investment, do not trust luring advertisements or rumors, do not accept gifts, and do not share account credentials or passwords.
Contact Us
For questions about the Investor Charter or any related grievance: