Investor Charter — Sentinel Research Private Limited

B.

Business Transacted with Investors

What Sentinel Research Does

As a SEBI Registered Research Analyst, Sentinel Research Private Limited undertakes the following with respect to its investors.

01.
To publish research reports based on the research activities of the RA.
02.
To provide an independent unbiased view on securities.
03.
To offer unbiased recommendations, disclosing the financial interests in recommended securities.
04.
To provide research recommendations based on analysis of publicly available information and known observations.
05.
To conduct an annual audit.
06.
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
07.
To maintain records of interactions with all clients — including prospective clients (prior to onboarding) — where any conversation related to the research services has taken place.

C.

Services Provided to Investors

No Indicative Timelines

Onboarding of Clients

Sharing of terms and conditions of research service.
Completing KYC of fee-paying clients.

Disclosure to Clients

To disclose information that is material for the client to make an informed decision — including details of business activity, disciplinary history, the terms and conditions of research services, details of associates, and risks and conflicts of interest (if any).
To disclose the extent of use of Artificial Intelligence tools in providing research services.
To disclose, while distributing a third-party research report, any material conflict of interest of such third-party research provider — or provide a web address that directs the recipient to the relevant disclosures.
To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst.

In addition, Sentinel Research undertakes the following service commitments:

To distribute research reports and recommendations to the clients without discrimination.
To maintain confidentiality with respect to publication of the research report until made available in the public domain.
To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information.
To disclose the timelines for the services provided by the research analyst to clients and ensure adherence to the said timelines.
To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products / services.
To treat all clients with honesty and integrity.
To ensure confidentiality of information shared by clients, unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.

D.

Grievance Redressal Mechanism

How to Lodge a Complaint

An investor can lodge a complaint or grievance against a Research Analyst through any of the following channels — escalated step-by-step where unresolved.

Step 01 · Direct

Sentinel Research

An investor may approach the Research Analyst directly. We shall strive to redress the grievance immediately — but not later than 21 days from the date of receipt of the grievance.

Contact Page · Compliance Officer

Step 02 · SEBI

SCORES 2.0

SEBI's centralised, web-based grievance redressal system. Two-level review: first by the designated body (RAASB), then by SEBI. Investors may also email the designated email ID of the RAASB.

scores.sebi.gov.in

Step 03 · ODR

SMARTODR

If the investor is not satisfied with the resolution provided by the Market Participants, they may file the complaint on the SMARTODR platform for resolution through online conciliation or arbitration.

smartodr.in

For Physical Complaints

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.

Rights of Investors

Fifteen Statutory Protections

Every investor of a SEBI Registered Research Analyst is entitled to the following rights — by regulation, and by our commitment.

i.

Right to Privacy and Confidentiality.

ii.

Right to Transparent Practices.

iii.

Right to Fair and Equitable Treatment.

iv.

Right to Adequate Information.

v.

Right to Initial and Continuing Disclosure — to receive information about all statutory and regulatory disclosures.

vi.

Right to Fair & True Advertisement.

vii.

Right to Awareness about service parameters and turnaround times.

viii.

Right to be informed of the timelines for each service.

ix.

Right to be Heard and to satisfactory grievance redressal.

x.

Right to timely redressal of grievances.

xi.

Right to Exit from a financial product or service in accordance with the terms and conditions agreed.

xii.

Right to clear guidance and caution notice when dealing in complex and high-risk financial products and services.

xiii.

Additional rights to vulnerable consumers — including access to services in a suitable manner even if differently abled.

xiv.

Right to provide feedback on the financial products and services used.

xv.

Right against coercive, unfair, and one-sided clauses in financial agreements.

F.

Expectations from Investors

Investor Responsibilities · Do's & Don'ts

The Do's

12 commitments

i.
Always deal with a SEBI registered Research Analyst.
ii.
Ensure that the Research Analyst has a valid registration certificate.
iii.
Check for the SEBI registration number.
iv.
Refer to the list of all SEBI registered Research Analysts available on the SEBI website: sebi.gov.in. Always pay attention to disclosures made in the research reports before investing.
v.
Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of fees through the Centralized Fee Collection Mechanism (CeFCoM) of RAASB if the Research Analyst has opted for the mechanism (applicable for fee-paying clients only).
vi.
Before buying / selling securities or applying in a public offer, check for the research recommendation provided by your Research Analyst.
vii.
Ask all relevant questions and clear your doubts with your Research Analyst before acting on a recommendation.
viii.
Seek clarifications and guidance on research recommendations from your Research Analyst — especially if it involves complex and high-risk financial products and services.
ix.
Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed.
x.
Always be aware that you have the right to provide feedback to your Research Analyst in respect of the services received.
xi.
Always be aware that you will not be bound by any clause, prescribed by the Research Analyst, which is contravening any regulatory provisions.
xii.
Inform SEBI about any Research Analyst offering assured or guaranteed returns.

The Don'ts

4 cautions

i.
Do not provide funds for investment to the Research Analyst.
ii.
Don't fall prey to luring advertisements or market rumours.
iii.
Do not get attracted to limited-period discounts or other incentives, gifts, etc. offered by Research Analysts.
iv.
Do not share login credentials and passwords of your trading and demat accounts with the Research Analyst.

The Investor Charter.

Onboarding of Clients

Disclosure to Clients

The Do's

The Don'ts

Companion documents.