Regulatory · Do's & don'tsThe Five Point Letter · Records
Do's & don'ts
Investor responsibilities while dealing with a Research Analyst, as set out in SEBI's Investor Charter.
Do's
- Always deal with a SEBI-registered Research Analyst.
- Ensure the Research Analyst has a valid registration certificate, and check the SEBI registration number.
- Pay attention to the disclosures made in research reports before investing.
- Pay your Research Analyst through banking channels only, and keep duly signed receipts; you may use CeFCoM if the RA has opted in.
- Before buying/selling securities, check the research recommendation provided.
- Ask all relevant questions and clear your doubts before acting, especially for complex and high-risk products.
- Be aware of your right to stop availing the service per the agreed terms, and your right to provide feedback.
- Be aware that you will not be bound by any clause that contravenes regulatory provisions.
- 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, incentives or gifts offered by a Research Analyst.
- Do not share login credentials and passwords of your trading, demat or bank accounts with the Research Analyst.