SEBI RIA Compliance & Complaints Data

Compliance Data (for Annual Compliance Audit of SEBI RIA)

The Disclosure with respect to compliance with the Annual compliance audit requirement under Regulation 19(3) of the SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for the last and the current financial year are as under:

No.Financial YearCompliance Audit StatusRemarks (if any)
1FY2020-21ConductedNA
2FY2021-22ConductedNA
3FY2022-23Under ProcessNA

The Disclosure with respect to compliance with the Annual compliance audit requirement under Regulation 19(3) of the SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for the last and the current financial year are as under:

Complaints Data

Data for the month ending August 30, 2023

No.Received FromPending at the End of Last MonthReceivedResolvedTotal PendingPending Complaints < 3 MonthsAverage Resolution Time (in days)Reason
1Directly from Investors00000N/AN/A
2SEBI (SCORES)00000N/AN/A
3Other Sources (if any)00000N/AN/A
Grand Total00000N/AN/A

Trend of Monthly Disposal of Complaints

No.MonthCarried Forward from Previous MonthReceivedResolvedPendingReason
1Month before Previous Month0000N/A
2Previous Month0000N/A
Grand Total0000N/A

Trend of Annual Disposal of Complaints 

No.MonthCarried Forward from Previous YearReceivedResolvedPendingReason
12018-20190000N/A
22019-20200000N/A
32020-20210000N/A
42021-20220000N/A
52022-20230000N/A
62023-2024 (Ongoing)0000NA
Grand Total0000N/A

Grievance Redressal Policy/Mechanism

The Grievance Redressal mechanism is ONLY available to clients of the Investment Advisor (RIA). The clients are only those individuals/entities with whom the Investment Advisor (RIA) has signed an investment advisory agreement. Since social media is filled with fake/unregistered/imposters looking to dupe people, please refer to the Beware of Impostors page and become aware of the risks, and avoid working with unregistered people if you want access to Grievance Redressal mechanism provided by SEBI to raise an issue against any SEBI intermediary.

In case of any issue/complaint (only for clients having investment advisory agreements with the RIA) against the Investment Adviser (INA100005241), please write to stableinvestor [at] gmail [dot] com.

If your issue/complaint (only for clients having investment advisory agreements with the RIA) is not resolved to your satisfaction within 30 days, you can raise a complaint on the SEBI Scores website or mobile app.

If you (only for clients having investment advisory agreements with the RIA) are still unsatisfied with the response of the Investment Advisor, you may access the common ODR Portal (https://smartodr.in/). Your attention is drawn to the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023 on “Online Resolution of Disputes in the Indian Securities Market”.