Equivest

A. Vision and Mission Statements for investors

Vision

Invest with knowledge & safety.

Our vision is to steer traders away from risky speculation and guide them towards building wealth through a disciplined, long term investment journey.

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.

Our mission is empower every professional to become a knowledgeable and successful investor.

B. Details of business transacted by the Research Analyst with respect to the investors.

I publish research reports based on my research activities
I provide independent and unbiased views on securities
I offer unbiased recommendations, disclosing any financial interests in the recommended securities
I base my research recommendations on publicly available information and known observations.
I conduct an annual audit of my research activities.
I ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts
I will maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place

C. Details of services provided to investors (No Indicative Timelines)

• Onboarding of Clients:
o Sharing of terms and conditions of research services
o Completing KYC of fee-paying clients
• Disclosure to Clients
o I will disclose information that is material for the client and to make and informed decision, including details of its business activity, disciplinary history, the terms and condition of research services, details of associates, risks and conflicts of interest, if any
o I will disclose the extent of use of Artificial Intelligence tools in providing research services
o I will disclose, while distributing a third-party research report, any material conflict of interest of such third-party research provider or provide web address that directs a recipient to the relevant disclosures.
o I will disclose any conflict of interest of the activities of providing research services with other activities of the research analyst
• I will distribute research reports and recommendations to clients without any discrimination.
• I will maintain confidentiality regarding the publication of research reports until they are made available in the public domain.
• I will respect the data privacy rights of clients and take all necessary measures to protect against unauthorized use of their confidential information.
• I will disclose the timelines for the services I provide and ensure strict adherence to those timelines.
• I will provide clear guidance and issue adequate caution when recommending complex and high-risk financial products or services.
• I will treat all clients with honesty and integrity.
• I will ensure the confidentiality of information shared by clients, unless disclosure is required by law or the client has given specific consent to share such information

D. Details of grievance redressal mechanism and how to access it

1. Investor can lodge complaint/grievance against Research Analyst in the following ways:

Mode of filing the complaint with research analyst
In case of any grievance / complaint, an investor may approach the concerned Research Analyst who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.
Details of Research Analyst
Name : Equivest Research Pvt Ltd
Contact No.: 7065010013
Email Id: info@equivestresearch.com
Mode of filing the complaint on SCORES or with Research Analyst Administration and Supervisory Body (RAASB)
i. SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner) (https://scores.sebi.gov.in)
Two level review for complaint/grievance against Research Analyst:
• First review done by designated body (RAASB)
• Second review done by SEBI
ii. Email to designated email ID of RAASB

2. If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

With regard to physical complaints, investors may send their complaints to: Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

E. Rights of investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to receive information about all the statutory and regulatory disclosures
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of the timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to be Heard and Satisfactory Grievance Redressal
Right to Exit from Financial product or service in accordance with the terms and conditions agreed with the research analyst
Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services
Additional Rights to vulnerable consumers
Right to get access to services in a suitable manner even if differently abled
Right to provide feedback on the financial products and services used
Right against coercive, unfair, and one-sided clauses in financial agreements

F. Expectations from the investors (Responsibilities of investors)

DO's

i. Always deal with SEBI registered Research Analyst.
ii. Ensure that the Research Analyst has a valid registration certificate.
iii. Check for SEBI registration number: Please refer to the list of all SEBI registered Research Analyst which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14)
iv. Always pay attention towards disclosures made in the research reports before investing.
v. Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of fees through Centralized Fee Collection Mechanism (CeFCoM) of RAASB if research analyst has opted for the mechanism. (Applicable for fee paying clients only)
vi. Before buying/ selling securities or applying in public offer, check for the research recommendation provided by your Research Analyst.
vii. Ask all relevant questions and clear your doubts with your Research Analyst before acting on recommendation.
viii. Seek clarifications and guidance on research recommendations from your Research Analyst, especially if it involves complex and high-risk financial products and services.
ix. Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed between you and your Research Analyst.
x. Always be aware that you have the right to provide feedback to your Research Analyst in respect of the services received.
xi. Always be aware that you will not be bound by any clause, prescribed by the research analyst, which is contravening any regulatory provisions.
xii. Inform SEBI about Research Analyst offering assured or guaranteed returns.

DON'Ts