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SEBI Investor Charter in respect of Research Analyst (RA)

As per SEBI circular number SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0685 dated 13th December, 2021 under Annexure A

A. Vision and Mission Statement for Investors.

Vision 

PHD Capital Pvt Ltd.’s vision is to provide research services built on the principles of selecting stocks based on extensive screening, rigorous due diligence and focus on valuations to ensure optimal investment returns.

Mission

To enable investors to understand the companies well and read analysis before investing in it. To make them a well-informed investor.

B. Details of business transacted by the Research Analyst with respect to the investors.

PHD Capital Pvt Ltd publishes research reports based on the research activities of the Research Analysts with intent to provide an independent and unbiased view on securities, and recommendations based on analysis of publicly available information and known observations while disclosing the financial interests in recommended securities.

C. Details of services provided to investors.

  • The client onboarding process for the Research Analyst services requires the client to submit Mobile no, email id and PAN details.
  • PHD Capital Pvt Ltd distributes research reports and recommendations to the clients without any discrimination.
  • PHD Capital Pvt Ltd also ensures that confidentiality is maintained with regard to the publication of the research report until it is made available in the public domain.

D. Details of grievance redressal mechanism and how to access it.

In case of any grievance / complaint, an investor should approach the concerned research analyst and shall ensure that the grievance is resolved within 30 days. To file any grievances /complain with us an investor can mail us at complain@phdcapital.in

If the investor’s complaint is not redressed satisfactorily, one may approach SEBI SCORES website at: https://scores.sebi.gov.in and can lodge complain in “Complaint Registration” under “Investor Corner”, 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. 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.

E. Expectations from Investors (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: Click Here
  • 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.

Dont's

  • 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 credentials and password of your trading and demat accounts with the Research Analyst.
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