Investor Charter - Stockvix

Section A

Vision & Mission Statements for Investors

Vision

Invest with knowledge & safety.

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.

Section B

Details of Business Transacted by the Research Analyst

With respect to the investors we serve.

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

Section C

Details of Services Provided to Investors

(No indicative timelines are provided for these services.)

Onboarding of Clients

Sharing of terms and conditions of research services.
Completing KYC of fee-paying clients.

Disclosure to Clients

To disclose information material for the client to make an informed decision, including details of business activity, disciplinary history, terms and conditions of research services, details of associates, and risks and conflicts of interest, if any.
To disclose the extent of use of Artificial Intelligence tools in providing research services.
To disclose, while distributing a third-party research report, any material conflict of interest of such third-party research provider, or provide a web address that directs a recipient to the relevant disclosures.
To disclose any conflict of interest between research services and other activities of the research analyst.

To distribute research reports and recommendations to clients without discrimination.
To maintain confidentiality with respect to publication of the research report until it is made available in the public domain.
To respect the data privacy rights of clients and take measures to protect unauthorized use of their confidential information.
To disclose the timelines for services provided to clients and ensure adherence to those timelines.
To provide clear guidance and adequate caution notice when recommending complex and high-risk financial products or services.
To treat all clients with honesty and integrity.
To ensure confidentiality of information shared by clients unless required to discharge legal obligations, or unless the client has given specific consent to share it.

Section D

Grievance Redressal Mechanism and How to Access It

Approach the Research Analyst directly

In case of any grievance or complaint, an investor may approach the concerned Research Analyst, who shall strive to redress the grievance immediately, but not later than 21 days of receipt of the grievance.

File on SCORES or with RAASB

If unresolved, file a complaint on SCORES 2.0 — SEBI's centralized, web-based grievance redressal system — at scores.sebi.gov.in, or with the Research Analyst Administration and Supervisory Body (RAASB).

Two-level review for complaints against a Research Analyst: first by the designated body (RAASB), then by SEBI.
Complaints can also be emailed to the designated email ID of RAASB.

SMARTODR — online conciliation or arbitration

If not satisfied with the resolution provided, the investor may file the complaint/grievance on the SMARTODR platform for resolution through online conciliation or arbitration.

Physical complaints

Investors may also send physical 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

Section 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 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 Have Timely Redressal
Right to Exit from a 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

Section F

Expectations from the Investors

Responsibilities of investors, as set out by SEBI.

Do’s

Always deal with a SEBI registered Research Analyst.
Ensure that the Research Analyst has a valid registration certificate.
Check for the SEBI registration number. Refer to the list of all SEBI registered Research Analysts on the SEBI website: sebi.gov.in – Recognised Research Analysts.
Always pay attention to disclosures made in research reports before investing.
Pay your Research Analyst only through banking channels, and maintain duly signed receipts mentioning payment details. Fees may also be paid through the Centralized Fee Collection Mechanism (CeFCoM) of RAASB, where the Research Analyst has opted for it. (Applicable to fee-paying clients only.)
Before buying, selling securities, or applying in a public offer, check for the research recommendation provided by your Research Analyst.
Ask all relevant questions and clear your doubts with your Research Analyst before acting on any recommendation.
Seek clarifications and guidance on research recommendations from your Research Analyst, especially where complex or high-risk financial products and services are involved.
Always be aware that you have the right to stop availing the services of a Research Analyst, as per the terms of service agreed between you and your Research Analyst.
Always be aware that you have the right to provide feedback to your Research Analyst regarding the services received.
Always be aware that you will not be bound by any clause, prescribed by the Research Analyst, that contravenes any regulatory provision.
Inform SEBI about any Research Analyst offering assured or guaranteed returns.

Don’ts

Do not provide funds for investment to the Research Analyst.
Don’t fall prey to luring advertisements or market rumours.
Do not get attracted to limited-period discounts, or other incentives and gifts offered by a Research Analyst.
Do not share the login credentials and password of your trading, demat, or bank accounts with the Research Analyst.

SEBI Annexure B

Complaint Data Disclosed by StockVix

Published monthly on this page, as required for all SEBI Research Analysts.

StockVix publishes the following investor complaints data every month, in the format prescribed by SEBI.

Data for the month ending: 31 July 2026

Monthly complaint data
Sr. No.	Received from	Pending at the end of last month	Received	Resolved*	Total Pending#	Pending > 3 months	Average Resolution time^ (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

Number of complaints received during the month against StockVix due to impersonation by some other entity: 0

* Inclusive of complaints of previous months resolved in the current month.

# Inclusive of complaints pending as on the last day of the month.

^ Average resolution time is the sum total of time taken to resolve each complaint, in days, in the current month, divided by the total number of complaints resolved in the current month.

Note: In case of any complaints received against StockVix due to impersonation by some other entity, such complaints may be adjusted from the total number of received/resolved complaints while preparing this table. Impersonation-related complaints are closed only after following the due process specified by SEBI/RAASB.

Trend of monthly disposal of complaints
Sr. No.	Month	Carried forward from previous month	Received	Resolved*	Pending#
1	May 2026	0	0	0	0
2	June 2026	0	0	0	0
3	July 2026	0	0	0	0
Grand Total		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	2023-24	0	0	0	0
2	2024-25	0	0	0	0
3	2025-26	0	0	0	0
Grand Total		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.

These tables currently show placeholder zeros. SEBI requires this data to be updated monthly with StockVix’s actual complaint figures — update the numbers in this section, and the “month ending” label above, before publishing each month.