1. Trading Blackout Window
To prevent front-running and maintain absolute objectivity, the Research Analyst and all immediate relatives do not deal or trade in the securities of any subject company under active coverage.
A blackout period is strictly enforced starting 30 calendar days prior to the publication of a research report/recommendation ticket, and extending to 5 calendar days after its official publication.
2. Information Barrier Policy
Draft reports, research calculations, valuation targets, and recommendation tickets are kept highly confidential.
Access is restricted strictly to the analyst office, ensuring no third parties or external partners receive material recommendations before they are concurrently disseminated to all subscribers.
3. Annual CA Compliance Audit
As mandated by SEBI Research Analyst Regulations, the business operations, files, subscriber registers, and recommendation histories are audited annually by an independent Chartered Accountant (CA) to certify compliance status.
4. Maintenance of Records
We archive and back up all statutory records securely for a minimum of 5 years, including:
Published research reports and recommendation tickets.
Raw financial sheets, valuations models, and sources of data.
Client registration logs, KYC documents, and fee receipts.
Compliance files, CA audit certificates, and grievance logs.
Direct Grievance Contact
Compliance Officer Email: sahai.shivendra@gmail.com | SLA: 15 Calendar Days