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SEBI Mandated Charter

Investor Charter in Respect of Research Analyst

Guiding principles, service commitments, and investor rights as prescribed by the Securities and Exchange Board of India (SEBI).

INVESTOR CHARTER - SMART OPTION NITI

Entity Name: Smart Option Niti | Location: Navi Mumbai, India | Role: SEBI Registered Research Analyst

A. Vision and Mission Statement

Vision: To empower market participants with objective, unbiased, and mathematically grounded options and equity research, enabling sound risk-adjusted capital deployment.

Mission: To maintain the highest standards of research integrity, regulatory compliance, client transparency, and disciplined derivative strategy design.

B. Details of Business Transacted by the Research Analyst

  • Publishing technical, quantitative, and derivative research reports on indices (NIFTY, BANKNIFTY) and liquid F&O stocks.
  • Formulating options structures (spreads, directional strategies, volatility setups) with explicitly quantified risk-reward ratios.
  • Disseminating research commentary strictly through verified and registered electronic channels (Email, WhatsApp).
  • Conducting periodic risk suitability reviews for subscribing clients.

C. Details of Services Provided to Investors

  • Ensuring unbiased research reports free from conflicts of interest.
  • Maintaining confidentiality of client personal information in adherence with data protection norms.
  • Providing clear, written explanations of rationale, stoploss levels, and target expectations in every trade alert.
  • Timely disclosure of any personal holdings or financial interests in recommended scrips.

D. Details of Grievance Redressal Mechanism

In case of any query or grievance, the investor may follow the defined resolution hierarchy:

  1. Level 1 - Internal Desk: Contact Smart Option Niti Grievance Officer via email at grievance@smartoptionniti.com or call +91 82639 46407. Standard resolution timeline: within 21 calendar days.
  2. Level 2 - SEBI SCORES Portal: If the complaint is not resolved satisfactorily, the investor may register a complaint with SEBI on the online SCORES portal at https://scores.sebi.gov.in or SEBI Toll-free Helpline: 1800 22 7575 / 1800 266 7575.
  3. Level 3 - Online Dispute Resolution (SMART ODR): In case of non-resolution, investors may escalate to the SMART ODR portal at https://smartodr.in.

E. Guidance for Investors (Do's and Don'ts)

DO's:
  • Always deal only with SEBI-registered Research Analysts.
  • Verify the validity of registration on SEBI's official website.
  • Complete KYC formalities and risk profiling truthfully.
  • Pay advisory fees exclusively to the official bank account of Smart Option Niti.
  • Assess your individual risk tolerance before executing derivative ideas.
DON'Ts:
  • Do not provide trading account login credentials, passwords, or MPINs to anyone.
  • Do not fall prey to guaranteed returns or assured profit schemes.
  • Do not pay research fees into any personal or individual savings account.
  • Do not borrow money or take loans to trade volatile options contracts.