SEBI’s Mandatory Complaints Disclosure requirement
SEBI’s Mandatory Complaints Disclosure requirement
Formats for investors complaints data to be disclosed monthly by IAs on their website/mobile application:
Data for the month ending
| Sr. No | 1 | 2 | 3 | Grand Total |
|---|---|---|---|---|
| Received from | Directly from Investors | SEBI (SCORES) | Other Sources (if any) | 0 |
| Pending at the end of last month | 0 | 0 | 0 | 0 |
| Received | 0 | 0 | 0 | 0 |
| Resolved | 0 | 0 | 0 | 0 |
| Total Pending # | 0 | 0 | 0 | 0 |
| Pending complaints > 3 months | 0 | 0 | 0 | 0 |
| Average Resolution time^ (in days) | 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
| Sr. No | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | Grand Total |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Month | 04-2023 | 05-2023 | 06-2023 | 07-2023 | 08-2023 | 09-2023 | 10-2023 | 11-2023 | 12-2023 | 01-2023 | 02-2024 | 03-2024 | - |
| Carried forward from previous month |
0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Received | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Resolved | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Pending # | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 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 | 1 | 2 | 3 | Grand Total |
|---|---|---|---|---|
| Year | 2021-22 | 2022-23 | 2023-24 | - |
| Carried forward from previous year | 0 | 0 | 0 | 0 |
| Received | 0 | 0 | 0 | 0 |
| Resolved | 0 | 0 | 0 | 0 |
| Pending # | 0 | 0 | 0 | 0 |
Data for the Month / Year
| Type of Complaint | Carried Forward From Previous Month | Received During the Month | Pending at End of Month | Average Resolution Time (Days) |
|---|---|---|---|---|
| Against Investment Adviser | 0 | 0 | 0 | 0 |
Cumulative Data for the Financial Year
| Type of Complaint | Received | Resolved | Pending | Total |
|---|---|---|---|---|
| Against Investment Adviser | 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.
Investor Grievance Policy-An Initiative to Enhance Transparency
We are dedicated towards the prosperity of our clients by following our aim of adding meaning to finances and adding time to your life. In the event of a complaint regarding our services we would be more than happy in addressing and solving it in the most proficient manner.
For any complaints / Grievances you can write us Email OR Contact us at:
Email: pritesh.cfa@gmail.com
Call Us On: +91 9978917315
If not satisfied with our response you can lodge your grievances with SEBI @ scores.gov.in, SCORES may be accessed thorough SCORES mobile application as well, same can be downloaded from below link:
https://play.google.com/store/apps/details?id=com.ionicframework.sebi236330
or you may also write to any of the offices of SEBI. For any queries, feedback or assistance,
SEBI Regional / Local Office Address:
SEBI Bhavan,
Panchavati Society,
Gulbai Tekra,
Ahmedabad,
Gujarat 380006
Please contact SEBI Office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575
How to File Complaints
- First Level – Contact the Investment Adviser
Email: ria.priteshkumar@gmail.com
- Second Level – SEBI SCORES (If unresolved within 30 days)
Register and lodge complaint at:
🔗 https://scores.gov.in
- Third Level – SEBI Regional Office
If still unresolved, escalate to the concerned SEBI office.
Regulatory Disclosure
Pritesh Shah is registered with the Securities and Exchange Board of India (SEBI) as an Individual Investment Advisor under SEBI (Investment Advisers) Regulations, 2013. Registration granted by SEBI does not imply endorsement. Investments are subject to market risks.