Formats for investor’s complaints data to be disclosed monthly by IAs on their website/mobile application:

Data for the month ending October 2022

Sr. No Received from Pending at the end of last month Received Resolved
*
Total Pending
#
Pending complaint s >
3months
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

^ 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#
April, 2021 0 0 0 0
May, 2021 0 0 0 0
June, 2021 0 0 0 0
July, 2021 0 0 0 0
August, 2021 0 0 0 0
September, 2021 0 0 0 0
October, 2021 0 0 0 0
November, 2021 0 0 0 0
December, 2021 0 0 0 0
January, 2022 0 0 0 0
February, 2022 0 0 0 0
March, 2022 0 0 0 0
April, 2022 0 0 0 0
May, 2022 0 0 0 0
June, 2022 0 0 0 0
July, 2022 0 0 0 0
August, 2022 0 0 0 0
September, 2022 0 0 0 0
October, 2022 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

SN Year Carried forward from previous year Received Resolved* Pending#
1 2018-19 0 0 0 0
2 2019-20 0 0 0 0
3 2020-21 0 0 0 0
Grand Total 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 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