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Statutory Records to be displayed by IAs
Data for the month ending – September, 2024
| Sr.No | Received from | Pending at the end of last month | Received | Resolved* | Total Pending# | Pending complaints > 3months | Average Resolution time^ (in days) |
|---|---|---|---|---|---|---|---|
| 1. | Directly from Investors | 0 | 0 | 0 | 0 | 0 | 0 |
| 2. | SEBI (SCORES) | 0 | 3 | 3 | 0 | 0 | 9 |
| 3. | Other Sources (if any) | 0 | 0 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 3 | 3 | 0 | 0 | 9 |
^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.
Trend of monthly disposal of complaints
| Sr.No | Month | Carried forward from previous month | Received | Resolved* | Pending # |
|---|---|---|---|---|---|
| 1. | October, 2023 | 0 | 0 | 0 | 0 |
| 2. | November, 2023 | 0 | 0 | 0 | 0 |
| 3. | December, 2023 | 0 | 0 | 0 | 0 |
| 4. | January, 2024 | 0 | 0 | 0 | 0 |
| 5. | February, 2024 | 0 | 0 | 0 | 0 |
| 6. | March, 2024 | 0 | 0 | 0 | 0 |
| 7. | April, 2024 | 0 | 0 | 0 | 0 |
| 8. | May, 2024 | 0 | 0 | 0 | 0 |
| 9. | June, 2024 | 0 | 0 | 0 | 0 |
| 10. | July, 2024 | 0 | 2 | 2 | 0 |
| 11. | August, 2024 | 0 | 0 | 0 | 0 |
| 12. | September, 2024 | 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. | 2020-21 | 0 | 0 | 0 | 0 |
| 2. | 2021-22 | 0 | 0 | 0 | 0 |
| 3. | 2022-23 | 0 | 1 | 1 | 0 |
| 4. | 2023-24 | 0 | 2 | 2 | 0 |
| Grand Total | 0 | 3 | 3 | 0 |
*Inclusive of complaints of previous years resolved in the current year.
Disclosure with respect to compliance with Annual compliance audit requirements under Regulations 19 (3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under :
| Sr.No | Financial Year | Compliance Audit Status | Files | Remarks, If any |
|---|---|---|---|---|
| 1 | FY 2020-21 | Conducted | - | - |
| 2 | FY 2021-22 | Completed | - | - |
| 3 | FY 2022-23 | Completed | Annual Audit Report Certificate | - |
| 4 | FY 2023-24 | Completed | Annual Audit Report Certificate | - |
Disclosure with respect to compliance with Annual return requirements as per the applicable provisions of the Companies Act, 2013 for last and current financial year are as under:
| Sr.No | Financial Year | Compliance Annual Return Status | Files | Remarks, If any |
|---|---|---|---|---|
| 1 | FY 2018-19 | Conducted | MGT-7 | - |
| 2 | FY 2019-20 | Completed | MGT-7 | - |
| 3 | FY 2020-21 | Completed | MGT-7 | - |
| 4 | FY 2021-22 | Completed | MGT-7 | - |
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