Investor charter

Mission

Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

Vision

                               Invest with knowledge & safety.

Details of Business Transacted

To enter into an agreement with the client providing all details including fee details,aspect of Conflict of interest disclosure and maintaining confidentiality of information.


To do a proper and unbiased risk – profiling and suitability assessment of the client.


To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).


To conduct audit annually.


To disclose the status of complaints in its website.


To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in its website.


To employ only qualified and certified employees.


To deal with clients only from official number.


To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.

Details of Grievance Redressal Mechanism

The trade bond has framed Complaint Redressal System which includes 2 Levels. The Levels are mentioned on the Website so as to ensure that every Grievance will always be taken into consideration. The Nature of Complaint has always been identified first. The trade bond always tried to close the Grievance at first Level itself where Complainant can register there complaint at support@thetradebond.com. Proper Mailer Reverts from the Grievance cell has always been furnished in order to document the Resolution Given from our end. The Business development team is always available to handle and resolve the telephonic , mailer concerns within 7 Working Days from the date of registration.

Complaint Redressal System:

LEVEL 1:- LODGE COMPLAINT WITH INVESTMENT ADVISER

At the first stage client need to report their grievance to their respective executives in writing at support@thetradebond.com. To ensure time bound solution, the respective executive shall revert within 7 working days for Redressal of such complaint.


LEVEL 2:-LODGE COMPLAINT WITH COMPLIANCE OFFICER

If the Client is dissatisfied with the Resolution given by Level 1 and wants to escalate the complaint again, he/she can escalate the matter to Compliance team at compliance@thetradebond.com , or helpdesk@thetradebond.com or can Contact Compliance Officer  at +91-7987249662(M) our team will assist the client with best possible solution adhering to the time span of 23 working days.


LEVEL 3:-LODGE COMPLAINT WITH SEBI-SCORES

If the investor’s complaint is not redressed satisfactorily at above Levels, one may lodge a complaint with SEBI on SEBI’s ‘SCORES’ portal which is a centralized web based complaints redressal system.You can lodge the compliant by clicking on https://scores.gov.in/scores/Welcome.html.SEBI takes up the complaints registered via SCORES with the concerned intermediary for proper redressal in time bound manner as specified in various Circular. SCORES facilitates tracking the status of the complaint.

Investors Responsibilities

Do’s:

Always deal with SEBI registered Investment Advisers.


Ensure that the Investment Adviser has a valid registration certificate.


Check for SEBI registration number Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in the following link:
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13)


Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.


Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.


Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice


Assess the risk–return profile of the investment as well as the liquidity and safety aspects before making investments


Insist on getting the terms and conditions in writing duly signed and stamped.Read these terms and conditions carefully particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with any Investment Adviser.


Be vigilant in your transactions.


Approach the appropriate authorities for redressal of your doubts / grievances.


Inform SEBI about Investment Advisers offering assured or guaranteed returns.


Don’ts

Don’t fall for stock tips offered under the pretext of investment advice.


Do not provide funds for investment to the Investment Adviser


Don’t fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don’t let greed overcome rational investment decisions.


Don’t fall prey to luring advertisements or market rumors.


Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.


Don’t take decisions just because of repeated messages and calls by Investment Advisers.


Do not fall prey to limited period discount or other incentive, gifts, etc. offered by
Investment advisers.


Don’t rush into making investments that do not match your risk taking appetite and investment goals.


Do not share login credential and password of your trading and demat accounts with the Investment Adviser.

Complaint Data

Data for the month ending- Sep 2022

Sr. No. Received From Pending at the end of last month Received Resolved* Total Pending# Pending complaints > 3months Average Resolution Time^(in days)
1 Directly from Investors 0 0 0 0 0 NA
2 SEBI(SCORES) 0 0 0 0 0 NA
3 Other Sources(if any) 0 0 0 0 0 NA
Grand Total 0 0 0 0 0 NA

^ 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 complaint resolved in the current month.

Trend of monthly disposal of complaints

Sr. No. Month Carried forward from previous month Received Resolved* Pending#
1 April, 2021 – Dec, 2021 0 0 0 0
2 Jan, 2022 0 0 0 0
3 Feb, 2022 0 0 0 0
4 Mar, 2022 0 0 0 0
5 April, 2022 0 0 0 0
6 May, 2022 0 0 0 0
7 June, 2022 0 0 0 0
8 July,2022 0 0 0 0
9 Aug, 2022 0 0 0 0
10 Sep, 2022 0
11 Oct, 2022
12 Nov, 2022
Grand Total 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 month Received Resolved* Pending#
1 2019-20 0 3 3 0
2 2020-21 0 1 1 0
3 2021-22 0 0 0 0
Grand Total 0 4 4 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/ Not Conducted

 Conducted

2

FY 2021-22

Conducted/ Not Conducted

 Not Conducted