Statutory Records to be displayed by IAs

Data for the month ending – January, 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 1 1 0 0 9
3. Other Sources (if any) 0 0 0 0 0 0
Grand Total 0 1 1 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. February, 2023 0 0 0 0
2. March, 2023 0 1 1 0
3. April, 2023 0 0 0 0
4. May, 2023 0 0 0 0
5. June, 2023 0 0 0 0
6. July, 2023 0 0 0 0
7. August, 2023 0 0 0 0
8. September, 2023 0 0 0 0
9. October, 2023 0 0 0 0
10. November, 2023 0 0 0 0
11. December, 2023 0 0 0 0
12. January, 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. 2021-22 0 0 0 0
2. 2022-23 0 0 0 0
3. 2022-23 0 1 1 0
Grand Total 0 1 1 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 -

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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