Data for the month ending – Sep 2024
| Received from | Pending at the end of the month | Received | Resolved* | Total Pending # | Pending complaints > 3 months | Average Resolution time ^ (in days) |
|---|---|---|---|---|---|---|
| Investors | 0 | 0 | 0 | 0 | 0 | 0 |
| SEBI Scores | 0 | 1 | 1 | 0 | 0 | 0 |
| Other Sources | 0 | 0 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 | 0 | 0 |
^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.
Trend of monthly disposal of complaints
| Month | Carried forward from previous month | Received | Resolved* | Pending # |
|---|---|---|---|---|
| Sep-23 | 0 | 0 | 0 | 0 |
| Oct-23 | 0 | 0 | 0 | 0 |
| Nov-23 | 0 | 0 | 0 | 0 |
| Dec-23 | 0 | 0 | 0 | 0 |
| Jan-24 | 0 | 0 | 0 | 0 |
| Feb-24 | 0 | 0 | 0 | 0 |
| Mar-24 | 0 | 0 | 0 | 0 |
| Apr-24 | 0 | 0 | 0 | 0 |
| May-24 | 0 | 0 | 0 | 0 |
| Jun-24 | 0 | 0 | 0 | 0 |
| July-24 | 0 | 0 | 0 | 0 |
| Aug-24 | 0 | 0 | 0 | 0 |
| Sep-24 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 |
*Inclusive of complaints of previous months resolved in the current month.
#Inclusive of complaints pending as on the last day of the month.
! Wrongful complaint from an individual who is not our client. Complaint has been addressed with reply on Score site
“Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under:
| Sr.No | Financial Year | Compliance Audit Status | Remarks If any |
|---|---|---|---|
| 1 | FY 2020-21 | CONDUCTED | NA |
| 2 | FY 2021-22 | CONDUCTED | NA |
| 3 | FY 2022-23 | CONDUCTED | NA |
| 4 | FY 2023-24 | CONDUCTED | NA |
| Regulation | Particulars | Compliance Status | Reason for non-compliance/non-applicability | Action taken on adverse findings (duly approved by non-individual IA) |
|---|---|---|---|---|
| (SEBI/HO/MI RSD2/DOR/CI R/P/2020/221) dated November 03, 2020) | Compliance of the SEBI circular for Advisory for financial Sector Organizations regarding Software as a Service (SaaS) based solutions for half-yearly ended 31st March 2022 and 30th September 2022. | Partly Complied | Based on the representation from the management we understand Company is in compliance with the requirement of protection and seamless control over the critical systems and the critical data which are within the legal boundaries of India, however the Company had not reported the same to SEBI/ BSEAL as required in the circular for the period under consideration and which has been done subsequent to audit period under consideration | As informed to us by the management, the management has submitted the report required under the said clause post audit period vide letter dated 08th August 2022 to SEBI and Bombay Stock Exchange Administrative and Private Limited (BSEAL). |
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
Trend of annual disposal of complaints
| Month | Carried forward from previous month | Received | Resolved* | Pending # |
|---|---|---|---|---|
| 2020-21 | 0 | 0 | 0 | 0 |
| 2021-22 | 0 | 0 | 0 | 0 |
| 2022-23 | 0 | 0 | 0 | 0 |
| 2023-24 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 |
*Inclusive of complaints of previous years resolved in the current year
#Inclusive of complaints pending as on the last day of the year.