Investment Adviser
Sr. No. | Received from | Pending at the end of last month | Received | Resolved | Total Pending | Pending complaints > 3 months | 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 |
Number of complaints received during month against the IA due to impersonation by some other entity:
Note: In case of any complaints received against the IA due to impersonation of the IA by some other entity, the IA may adjust the number of such complaints from total number of received/resolved complaints while preparing the above table. Further, IA must close such impersonation related complaints after following the due process as specified by SEBI/ IAASB.
Inclusive of complaints of previous months resolved in the current month.
# Inclusive of complaints pending as on the last day of the month
#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.
Sr. No. | 1 | 2 | 3 | |
Received from | Directly from Investors | SEBI (SCORES) | Other Sources (if any) | Grand Total |
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 |
Number of complaints received during month against the IA due to impersonation by some other entity:
Note: In case of any complaints received against the IA due to impersonation of the IA by some other entity, the IA may adjust the number of such complaints from total number of received/resolved complaints while preparing the above table. Further, IA must close such impersonation related complaints after following the due process as specified by SEBI/ IAASB.
Inclusive of complaints of previous months resolved in the current month.
# Inclusive of complaints pending as on the last day of the month
#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.
Sr. No. | Month | Carried forward | Received | Resolved | Pending |
---|---|---|---|---|---|
1 | December 2024 | 0 | 0 | 0 | 0 |
2 | January 2025 | 0 | 0 | 0 | 0 |
3 | February 2025 | 0 | 0 | 0 | 0 |
4 | March 2025 | 0 | 0 | 0 | 0 |
5 | April 2025 | 0 | 0 | 0 | 0 |
6 | May 2025 | 0 | 0 | 0 | 0 |
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.
Sr. No. | 1 | 2 | 3 | 4 | 5 | 6 | |
Month | December 2024 | January 2025 | February 2025 | March 2025 | April 2025 | May 2025 | Grand Total |
Carried forward | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Received | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Resolved | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Pending | 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.
Sr. No. | Financial Year | Compliance Audit Status | Remarks, If any |
---|---|---|---|
1 | FY 2023-24 | Not Conducted | IA got its registration on 6th December 2024, and hence the Audit for FY 23-24 is not applicable |
2 | FY 2024-25 | Not Conducted |
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
Sr. No. | 1 | 2 |
Financial Year | FY 2023-24 | FY 2024-25 |
Compliance Audit Status | Not Conducted | Not Conducted |
Remarks, If any | IA got its registration on 6th December 2024, and hence the Audit for FY 23-24 is not applicable |
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
Last updated on: June 7, 2025