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 Year | Compliance Audit Status | Remarks |
|---|---|---|---|
|
1 |
FY2020-21 |
Conducted |
NA |
|
2 |
FY2021-22 |
Conducted |
NA |
|
3 |
FY2022-23 |
Under Process |
NA |
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 From | Pending at the End of Last Month | Received | Resolved | Total Pending | Pending Complaints < 3 Months | Average Resolution Time (in days) | Reason |
|---|---|---|---|---|---|---|---|---|
|
1 |
Directly from Investors |
0 |
0 |
0 |
0 |
0 |
N/A |
N/A |
|
2 |
SEBI (SCORES) |
0 |
0 |
0 |
0 |
0 |
N/A |
N/A |
|
3 |
Other Sources (if any) |
0 |
0 |
0 |
0 |
0 |
N/A |
N/A |
|
4 |
Grand Total |
0 |
0 |
0 |
0 |
0 |
N/A |
N/A |
Trend of Monthly Disposal of Complaints
| No. | Month | Carried Forward from Previous Month | Received | Resolved | Pending | Reason |
|---|---|---|---|---|---|---|
|
1 |
Month before Previous Month |
0 |
0 |
0 |
0 |
N/A |
|
2 |
Previous Month |
0 |
0 |
0 |
0 |
N/A |
|
|
Grand Total |
0 |
0 |
0 |
0 |
N/A |
Trend of Annual Disposal of Complaints
| No. | Month | Carried Forward from Previous Month | Received | Resolved | Pending | Reason |
|---|---|---|---|---|---|---|
|
1 |
2018-2019 |
0 |
0 |
0 |
0 |
N/A |
|
2 |
2019-2020 |
0 |
0 |
0 |
0 |
N/A |
|
3 |
2020-2021 |
0 |
0 |
0 |
0 |
N/A |
|
4 |
2021-2022 |
0 |
0 |
0 |
0 |
N/A |
|
5 |
2022-2023 |
0 |
0 |
0 |
0 |
N/A |
|
6 |
2023-2024 (Ongoing) |
0 |
0 |
0 |
0 |
N/A |
|
|
Grand Total |
0 |
0 |
0 |
0 |
N/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 (INA200009564), please write to flyingcalls@gmail.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”.