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SEBI RIA Compliance and Complaints Data

 

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
CKYC Registration pending. Awaiting
clarity from SEBI and CERSAI
3 FY 2022-23 Conducted CKYC Registration pending. Awaiting
clarity from SEBI and CERSAI
 Data for the month ending May 31, 2024

Sr. No. Received from Pending at the end of last month Received Resolved Total Pending Pending complaints > 3 months Average Resolution time (in days) Reason
1 Directly from Investors 0 0 0 0 0 N/A N/A
2 SEBI (SCORES) 0 0 0 0 0 N/A N/A
3 Other Sources (if any) 0 0 0 0 0 N/A N/A
  Grand Total 0 0 0 0 0 N/A N/A

Trend of monthly disposal of complaints

Sr. No. Month Carried Forward
from previous month
Received Resolved Pending Reason
1 Apr-24 0 0 0 0 NA
2 May-24 0 0 0 0 NA
3 Jun-24
4 Jul-24  
5 Aug-24
6 Sep-24  
7 Oct-24  
8 Nov-24  
9 Dec-24
10 Jan-25  
11 Feb-25  
12 Mar-25

Trend of annual disposal of complaints

Sr. No. Year Carried forward from previous year Received Resolved Pending Reason
1 2019-2020 0 0 0 0 N/A
2 2020-2021 0 0 0 0 N/A
3 2021-2022 0 0 0 0 N/A
4 2022-2023 0 0 0 0 N/A
5 2023-2024 0 0 0 0 N/A
  Grand Total 0 0 0 0 N/A

Grievance Redressal

The Grievance Redressal mechanism is only available to clients of the Investment Adviser. The clients are those individuals/entities with whom the Investment Adviser has signed an investment advisory agreement. Refer to the Beware of Impostors page and avoid working with unregistered people if you want access to Grievance Redressal against any SEBI intermediary.

In case of any complaints (only for clients) against the Investment Adviser (INA100002719), please write to support[at]PersonalFinancePlan.in.

If your complaint (only for clients) is not resolved to your satisfaction within 30 days, you can raise a complaint in SEBI Scores website or mobile app.

If you (only for clients) are  still unsatisfied with the response of the Investment Adviser, you may access ODR Portal. Your attention is drawn to the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023 on “Online Resolution of Disputes in the Indian Securities Market”.  

A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established. ODR Portal can be accessed via the following link – https://smartodr.in/