Investor Complaints (Annexure-B)
SEBI through its circular SEBI/HO/IMD/DF1/CIR/P/2019/169 dated 27th December 2019 has directed all those registered under IA regulations 2013 to display the complaint status on their website.
SEBI through its further circular SEBI/HO/IMD/IMD-II CIS/P/CIR/2 dated 13th December 2021 has directed IAs to publish Investor charter & disclosures of Investor Complaints.
Accordingly, we are displaying the same as below and will be updated on a monthly basis.
Complaints data for the month: October 2022
| 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 |
^ 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
| Sr.No. | Month | Carried forward from previous month | Received | Resolved* | Pending# |
| 1. | December, 2021 | 0 | 0 | 0 | 0 |
| 2. | January, 2022 | 0 | 0 | 0 | 0 |
| 3. | February, 2022 | 0 | 0 | 0 | 0 |
| 4. | March, 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. | August, 2022 | 0 | 0 | 0 | 0 |
| 10. | September,2022 | 0 | 0 | 0 | 0 |
| 11. | 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
| Sr. No. | Year | Carried forward from previous year | Received | Resolved* | Pending# |
| 1. | 2019-20 | 0 | 0 | 0 | 0 |
| 2. | 2020-21 | 0 | 0 | 0 | 0 |
| 3. | 2021-22 | 0 | 0 | 0 | 0 |
| 4. | 2022-23 | 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.
Source – https://scores.gov.in/admin/Chk_login.htmlSE
“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 |
Conducted |
_ |
For any complaints / Grievances you could contact –
Mr. Suresh Narula, Principal Officer, Prudent Financial Planners.
(Prudent Financial Planners is an individual Registered Investment Adviser (RIA) with SEBI Reg. No. INA1000001877.)
Email ID – info@prudentfp.in ; sureshcfp@gmail.com
Telephone – +91 98160 02197
Address – # 1397, Top Floor, Sector – 25, Panchkula, Haryana – 134116
SEBI Contact details – SEBI, Investment Management Division, SEBI Bhavan, C4-A, G Block, Bandra Kurla Complex, Bandra East, Mumbai – 400 051. Email – sebi@sebi.gov.in ; Tel – 2644 9000 / 4045 9000
If your problem remains unresolved, after coming to us, you may also go through & use the following too for complaints/ grievances –
SEBI Complaints Redressal System ( SCORES )
To get further information about SEBI & Investment Adviser Regulation 2013 –
SEBI Investment Adviser Regulation
Source – https://scores.gov.in/admin/Chk_login.htmlSE
It is our endeavour to offer top-notch services to you. In the unlikely event that you are having any complaints about our services, we would be more than interested in hearing about it and sorting it out to your satisfaction.