Investor Charter

A. Vision and Mission Statements for investors.

Mission: Every investor should be able to invest in the right investment products based on their needs, manage and monitor them to meet their goals, access reports, and enjoy financial wellness.

B. Details of business transacted by the Research Analyst with respect to the investors

1. To publish research reports based on the research activities of the RA.
2. To provide an independent unbiased view on securities.
3. To offer unbiased recommendations, disclosing the financial interests in recommended securities.
4. To provide research recommendations based on analysis of publicly available information and known observations.
5. To conduct audit annually.

C. Details of services provided to investors (No Indicative Timelines) Onboarding of Clients

Disclosure to Clients:

1. To distribute research reports and recommendations to the clients without discrimination.
2. To maintain confidentiality w.r.t publication of the research report until made available in the public domain.

D. Details of grievance redressal mechanism and how to access it

In case of any grievance/complaint, an investor should approach the concerned research analyst and shall ensure that the grievance is resolved within 30 days. If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s SCORES portal which is a centralized web based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint. With regard to physical complaints, investors may send their 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.

E. Expectations from the investors (Responsibilities of investors)

Do’s

1. Always deal with SEBI registered Research Analyst.
2. Ensure that the Research Analyst has a valid registration certificate.
3. Check for SEBI registration number.
4. Please refer to the list of all SEBI registered Research Analysts, which is available on SEBI website at the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes &intmId=14
5. Always pay attention towards disclosures made in the research reports before investing.
6. Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments.
7. Before buying securities or applying for public offers, check for the research recommendation provided by your research Analyst.
8. Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
9. Inform SEBI about Research Analysts offering assured or guaranteed returns.

Don’t’s

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

REDRESSAL OF GRIEVANCE

Here are the steps a client can follow in case of grievance or feedback:

 1.     If you are not satisfied with my services and would like to lodge a complaint, I would request you to first talk to me, your Research Analyst, who is your point of contact. You can discuss with me, and be rest assured that your complaint will be resolved on best efforts within 10 to 15 working days.

2.     You can also email or WhatsApp to me via telephone. The WhatsApp no. is +917302533513

3.     Alternatively, you can send me a complaint in writing or via email on nishit189@gmail.com

4.      I will try to resolve your complaint within 10 to 15 working days. The first step is for me to be clear about the nature of your complaint, and to identify what I can do to resolve the issue. When I have finished my investigations into your complaint, I will be in touch to provide you with a full response to your complaint. 

 5.     If your complaint is not resolved within a period of one month, you may refer your complaint to the regulator – The Securities and Exchange Board of India (SEBI).

SCORES portal and ODR portal has been established for resolution of disputes arising in the Indian Securities Market. If you are unsatisfied with the response or resolution provided, you may access SCORES portal or ODR Portal, via below link-

·      SCORES – scores.sebi.gov.in

·      ODR PORTAL- www.smartodr.in

Grievance Redressal/Escalation Matrix

 This is to help resolve client complaints more efficiently before they need to be taken to regulatory bodies like SEBI.

Privacy Policy 

www.unicornstocks.in  (hereinafter referred to as “ website/ww.unicornstocks.in ”) is the domain owned by Nishit Doshi. Nishit Doshi offers independent equity research services to retail clients as well as corporate clients on subscription basis.

Use of the information herein is at one’s own risk. This is not an offer to sell or solicitation to buy any securities and www.unicornstocks.in will not be liable for any losses incurred or investment(s) made or decisions taken/or not taken based on the information provided herein. Information contained herein does not constitute a personal recommendation or take into account the particular investment objectives, financial situations, or needs of individual investors. Before acting on any recommendation, investors should consider whether it is suitable for their particular circumstances and, if necessary, seek an independent professional advice. All content and information is provided on an “As is” basis by www.unicornstocks.in  Information herein is believed to be reliable but www.unicornstocks.in  does not warrant its completeness or accuracy and expressly disclaims all warranties and conditions of any kind, whether express or implied. www.unicornstocks.in its proprietor may hold shares in the company/ies discussed herein. The Past performance is the performance of our partners. The performance data quoted represents past performance and does not guarantee future results.

• We take KYC documents from our clients, i.e. name, email, phone number, PAN Card, State before they sign up for our services. This is taken through a third party partner.
• We retain records relating to the services that we provide so that we are better able to assist our clients with their needs and to comply with professional guidelines or requirements of law.
• We maintain physical, electronic, and procedural safeguards that comply with federal and state regulation/ act to guard our clients’ non-public personal information.
• We protect the confidentiality of clients’ Mobile Number, Name, and Address & Email Id to prohibit unlawful disclosure of our data, and limit access to our clients’ data in the same manner as we do all other non-public personal information.
• Documents and information containing any non public personal information are safeguarded and not disclosed to anyone, unless authorized by the client or required by law.
• We restrict access of client data only to those employees and partners who are involved in offering and administering the products and services we offer.
• We train our employees in the importance of maintaining confidentiality and customer privacy.
• We have agreements with our partners which to safeguard client confidentiality and customer privacy.
• We destroy, erase or make unreadable documentation containing Clients data and/or other non-public personal information prior to its disposal.
• We continuously monitor and make adjustments to this Client Personal Information Protection Policy as necessary.
• Nishit Doshi has a contractual arrangement with vendors whereby the vendors provides technology solutions and related back-end infrastructure along with support for back-office related operations & processes. The vendors do not provide any investment advice or recommendation nor does it make any claim of returns or performance with respect to any advice or recommendation. 

Complaint Data in terms of SEBI Circular SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0685 dated December 13, 2021

Name of Organisation – Vidyasagar Investments

STATUS - Research Analyst

Data for month ending - December-2024

CODE OF CONDUCT FOR RESEARCH ANALYST

NIshit Doshi (“The Individual”) is a SEBI Registered Research Analyst vide Registration Number  INH000017198 

In accordance to Regulation 24 (2) of the SEBI (Research Analyst) Regulations, 2014, I shall maintain the following the Code of Conduct:

1. Honesty and Good Faith

I shall act honestly and in good faith.

2. Diligence

I shall act with due skill, care and diligence and shall ensure that the research report is prepared after thorough analysis.

3. Conflict of Interest

I shall effectively address conflict of interest which may affect the impartiality of research analysis and research report and shall make appropriate disclosures to address the same.

4. Insider Trading or front running

I shall not engage in insider trading or front running of my own research report.

5. Confidentiality

I shall maintain confidentiality of report till the report is made public.

6. Professional Standard

I am engaged in research analysis and shall observe high professional standard while preparing research report. 

7. Compliance

I shall comply with all regulatory requirements applicable to the conduct of its business activities.

8. Responsibility of senior management

I shall bear primary responsibility of senior management for ensuring the maintenance of appropriate standards of conduct and adherence to proper procedures.