Complaint data

SEBI through its circular SEBI/HO/IMD/DF1/CIR/P/2019/169 dated 27th December 2019 has directed all those registered under IA regulations 2013 to display the complaint status on their website.

SEBI through its further circular SEBI/HO/IMD/IMD-II CIS/P/CIR/2 dated 13th December 2021 has directed IAs to publish Investor charter & disclosures of Investor Complaints.

Accordingly, I am displaying the same as below and will be updated on a monthly basis.

Complaints data for the month: September 2026

Complaints data for the month: November 2025
Sr.No.	Received from	Pending at the end of last month	Received	Resolved*	Total Pending#	Pending complaints > 3 months	Average Resolution time^(in days)
1.	Directly from Investors	0	0	0	0	0	0
2.	SEBI(SCORES)	0	0	0	0	0	0
3.	Other Sources (if any)	0	0	0	0	0	0
	Grand Total	0	0	0	0	0	0

Number of complaints received during month against the IA due to impersonation by some other entity:

Note: In case of any complaints received against the IA due to impersonation of the IA by some other entity, the IA may adjust the number of such complaints from total number of received/resolved complaints while preparing the above table. Further, IA must close such impersonation related complaints after following the due process as specified by SEBI/ IAASB.

* Inclusive of complaints of previous months resolved in the current month. # Inclusive of complaints pending as on the last day of the month. ^ 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

Trend of monthly disposal of complaints
Sr.No.	Month	Carried forward from previous month	Received	Resolved*	Pending#
1.	October, 2025	0	0	0	0
2.	November, 2025	0	0	0	0
3.	December, 2025	0	0	0	0
4.	January, 2026	0	0	0	0
5.	February, 2026	0	0	0	0
6.	March, 2026	0	0	0	0
7.	April, 2026	0	0	0	0
8.	May, 2026	0	0	0	0
9.	June, 2026	0	0	0	0
10.	July, 2026	0	0	0	0
11.	August, 2026	0	0	0	0
12.	September, 2026	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.

Trend of annual disposal of complaints

Sr. No.

Year

Carried forward from previous year

Received

Resolved*

Pending#

Trend of annual disposal of complaints
1.	2020-21	0	0	0	0
2.	2021-22	0	0	0	0
3.	2022-23	0	0	0	0
4.	2023-24	0	0	0	0
5.	2024-25	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.

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 are as under :

Sr. No.	Financial Year	Compliance Audit Status	Remarks, If any
1	FY 2021-22	Conducted	_
2	FY 2022-23	Conducted	_
3	FY 2023-24	Conducted	_
4	FY 2024-25	Conducted	_

For any complaints / Grievances

You can seek clarification to your query and are further entitled to make a complaint in writing, orally or telephonically. An email may be sent to me on harenbanker@gmail.com. Alternatively, you may call me on 9820151644.
If your complaint is not resolved satisfactorily in 21 days you can lodge your complaint with SEBI at http://scores.sebi.gov.in or you may also write 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. SCORES may be accessed thorough SCORES mobile application as well, same can be downloaded from below link:

ODR Portal could be accessed, if unsatisfied with the response. 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/
Disclaimers

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