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 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

The Disclosure with respect to compliance with the Annual compliance audit requirement under Regulation 19(3) of 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 November 30, 2022

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
52022-2023 (Ongoing)0000N/A
Grand Total0000N/A

In case of any complaints (only for the fee-paying clients with active agreements) against the Investment Adviser, please write to dev [at] stableinvestor [dot] com.

If your complaint (only for the fee-paying clients with active agreements) is not resolved to your satisfaction within 30 days, you can raise a complaint on the SEBI Scores website or mobile app.