Formats for investor’s complaints data to be disclosed monthly by IAs on their website/mobile application:
Data for the month ending February 2023
|Sr. No||Received from||Pending at the end of last month||Received||Resolved
|Pending complaint s >
|Average Resolution time^ (in days)|
|1||Directly from Investors||0||0||0||0||0||0|
|3||Other Sources (if any)||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#|
*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
|SN||Year||Carried forward from previous year||Received||Resolved*||Pending#|
*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 for last and current financial year are as under :
|Sr. No.||Financial Year||Compliance Audit Status||Remarks, If any|
|1||FY 2020 – 21||Conducted|
|2||FY 2021 – 22||Not Conducted||In Process|