Complaints Status
Data for the month ending – March 2024
| Received from | Pending at the end of last month | Received | Resolved | Total Pending # | Pending complaints > 3 months | Average Resolution time ^(in days) |
|---|---|---|---|---|---|---|
| Directly from Investors | 0 | 0 | 0 | 0 | 0 | NIL |
| SEBI Scores | 0 | 0 | 0 | 0 | 0 | NIL |
| Other sources (if any) | 0 | 0 | 0 | 0 | 0 | NIL |
| Grand Total |
^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.
ODR Portal could be accessed, if unsatisfied with the response. Your attention is drawn to the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”.
A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established. ODR Portal can be accessed via the following link – https://smartodr.in/
Trend of monthly disposal of complaints
| Month | At the beginning of the month | Received during the month | Resolved during the month | Pending at the end of the month | Reasons for pendency |
|---|---|---|---|---|---|
| March 2024 | 0 | 0 | 0 | 0 | NA |
| February 2024 | 0 | 0 | 0 | 0 | NA |
| January 2024 | 0 | 0 | 0 | 0 | NA |
| December 2023 | 0 | 0 | 0 | 0 | NA |
| November 2023 | 0 | 0 | 0 | 0 | NA |
| October 2023 | 0 | 0 | 0 | 0 | NA |
| September 2023 | 0 | 0 | 0 | 0 | NA |
| August 2023 | 0 | 0 | 0 | 0 | NA |
| July 2023 | 0 | 0 | 0 | 0 | NA |
| June 2023 | 0 | 0 | 0 | 0 | NA |
| May 2023 | 0 | 0 | 0 | 0 | NA |
| April 2023 | 0 | 0 | 0 | 0 | NA |
| March 2023 | 0 | 0 | 0 | 0 | NA |
| February 2023 | 0 | 0 | 0 | 0 | NA |
| January 2023 | 0 | 0 | 0 | 0 | NA |
| December 2022 | 0 | 0 | 0 | 0 | NA |
| November 2022 | 0 | 0 | 0 | 0 | NA |
| October 2022 | 0 | 0 | 0 | 0 | NA |
| September 2022 | 0 | 0 | 0 | 0 | NA |
| August 2022 | 0 | 0 | 0 | 0 | NA |
| July 2022 | 0 | 0 | 0 | 0 | NA |
| June 2022 | 0 | 0 | 0 | 0 | NA |
| May 2022 | 0 | 0 | 0 | 0 | NA |
| April 2022 | 0 | 0 | 0 | 0 | NA |
| March 2022 | 0 | 0 | 0 | 0 | NA |
| February 2022 | 0 | 0 | 0 | 0 | NA |
| January 2022 | 0 | 0 | 0 | 0 | NA |
| December 2021 | 0 | 0 | 0 | 0 | NA |
| November 2021 | 0 | 0 | 0 | 0 | NA |
| October 2021 | 0 | 0 | 0 | 0 | NA |
| September 2021 | 0 | 0 | 0 | 0 | NA |
| August 2021 | 0 | 0 | 0 | 0 | NA |
| July 2021 | 0 | 0 | 0 | 0 | NA |
| June 2021 | 0 | 0 | 0 | 0 | NA |
| May 2021 | 0 | 0 | 0 | 0 | NA |
| April 2021 | 0 | 0 | 0 | 0 | NA |
| March 2021 | 0 | 0 | 0 | 0 | NA |
| February 2021 | 0 | 0 | 0 | 0 | NA |
| January 2021 | 0 | 0 | 0 | 0 | NA |
| December 2020 | 0 | 0 | 0 | 0 | NA |
*Inclusive of complaints of previous months resolved in the current month. # Inclusive of complaints ending 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 | 2018-19 | 0 | 0 | 0 | 0 |
| 2 | 2019-20 | 0 | 3 | 3 | 0 |
| 3 | 2020-21 | 0 | 0 | 0 | 0 |
| 4 | 2021-22 | 0 | 0 | 0 | 0 |
| 5 | 2022-23 | 0 | 0 | 0 | 0 |
| 6 | 2023-24 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 3 | 3 | 0 |
*Inclusive of complaints of previous years resolved in the current year. # Inclusive of complaints pending as on the last day of the year.
Compliance Audit Status
*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:
| Sr. No | Financial Year | Compliance Audit Status | Remarks, If any |
|---|---|---|---|
| 1 | FY 2020-21 | Conducted/ Not Conducted | Conducted |
| 2 | FY 2021-22 | Conducted/ Not Conducted | Conducted |
| 3 | FY 2022-23 | Conducted/ Not Conducted | Conducted |
*Inclusive of complaints of previous years resolved in the current year. # Inclusive of complaints pending as on the last day of the year.
Disclaimer: RW Investment Advisors LLP is registered with SEBI as an Investment Advisor (INA200004342) and is governed by its rules & regulations. Type of registration – Non-individual. Registration valid from 10-March-2016. Renewal done on 17-Feb-21. All the information contained herein is strictly proprietary and may not be altered in any way, transmitted to, copied or distributed, in part or in whole, to any other person or to the media or reproduced in any form, without prior written consent. The content on this website is solely for informational purpose and may not be used or considered as an offer document or solicitation of offer to buy or sell or subscribe for securities or other financial instruments. Nothing in this website constitutes investment, legal, accounting and tax advice or a representation that any investment or strategy is suitable or appropriate to your specific circumstances. The securities discussed and opinions expressed in this website may not be suitable for all investors, who must make their own investment decisions, based on their own investment objectives, financial positions and needs of specific recipient. This may not be taken in substitution for the exercise of independent judgement by any recipient. Equity investments are subject to market risks. Past performance is not indicative of future returns. Please consider your specific investment requirements before choosing a security, or designing a portfolio that suits your needs. We advise our clients only on investing in cash equities and believe in long term wealth creation. We DO NOT offer any stock market tips nor do we solicit payments of any nature from investors in exchange for guaranteed stock market performance / returns. We operate from Bangalore and do not have any other branches in India / abroad.
Corresponding SEBI regional address based on registered office
SEBI Bengaluru Local Office Address: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru – 560025, Karnataka. Tel. Board: +91-080-22222262/ 22222264/ 2222 2283. E-mail: bangalore-lo@sebi.gov.in