Complaints Data and Audit Disclosures to be displayed by investment advisor
Complaints Data for the month
^ 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
*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
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
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Compliance Audit Disclosure
Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under :
|Received from||Pending at the end of the month||Received||Resolved*||Total Pending #||Pending complaints > 3 months||Average Resolution time ^(in days)|
|Month||Carried forward from previous month||Received||Resolved*||Pending #|
|Month||Carried forward||Received||Resolved*||Pending #|
|Sr. No||Financial Year||Compliance Audit Status||Remarks, If any|