Compliance & Regulation
SEBI’s Investment Adviser Charter
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Complaint Data
Data for the month ending : November 2024
| Sr. No. | Received from | Pending at the end of last month | Received | Resolved* | Total Pending # | Pending complaints > 3 months | Average Resolution time ^ (in days) |
| 1 | Directly from Investors |
0
|
0
|
0
|
0
|
0
|
0
|
| 2 | SEBI (SCORES) |
0
|
0
|
0
|
0
|
0
|
0
|
| 3 | Other Sources (if any) |
0
|
0
|
0
|
0
|
0
|
0
|
| Grand Total |
0
|
0
|
0
|
0
|
0
|
0
|
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.
The Trend of Monthly Disposal of Complaints
| Sr. No. | Month | Carried forward from previous month | Received | Resolved* | Pending# |
| 1 | November, 2020 |
0
|
0
|
0
|
0
|
| 2 | Decemberr, 2020 |
0
|
0
|
0
|
0
|
| 3 | January, 2021 |
0
|
0
|
0
|
0
|
| 4 | February, 2021 |
0
|
0
|
0
|
0
|
| 5 | March, 2021 |
0
|
0
|
0
|
0
|
| 6 | April, 2021 |
0
|
0
|
0
|
0
|
| 7 | May, 2021 |
0
|
0
|
0
|
0
|
| 8 | June, 2021 |
0
|
0
|
0
|
0
|
| 9 | July, 2021 |
0
|
0
|
0
|
0
|
| 10 | August, 2021 |
0
|
0
|
0
|
0
|
| 11 | September, 2021 |
0
|
0
|
0
|
0
|
| 12 | October, 2021 |
0
|
0
|
0
|
0
|
| 13 | November, 2021 |
0
|
0
|
0
|
0
|
| 14 | December, 2021 |
0
|
0
|
0
|
0
|
| 15 | January, 2022 |
0
|
0
|
0
|
0
|
| 16 | February, 2022 |
0
|
0
|
0
|
0
|
| 17 | March, 2022 |
0
|
0
|
0
|
0
|
| 18 | April, 2022 |
0
|
0
|
0
|
0
|
| 19 | May, 2022 |
0
|
0
|
0
|
0
|
| 20 | June, 2022 |
0
|
0
|
0
|
0
|
| 21 | July, 2022 |
0
|
0
|
0
|
0
|
| 22 | August, 2022 |
0
|
0
|
0
|
0
|
| 23 | September, 2022 |
0
|
0
|
0
|
0
|
| 24 | October, 2022 |
0
|
0
|
0
|
0
|
| 25 | November, 2022 |
0
|
0
|
0
|
0
|
| 26 | December, 2022 |
0
|
0
|
0
|
0
|
| 27 | January, 2023 |
0
|
0
|
0
|
0
|
| 28 | February, 2023 |
0
|
0
|
0
|
0
|
| 29 | March, 2023 |
0
|
0
|
0
|
0
|
| 30 | April, 2023 |
0
|
0
|
0
|
0
|
| 31 | May, 2023 |
0
|
0
|
0
|
0
|
| 32 | June, 2023 |
0
|
0
|
0
|
0
|
| 33 | July, 2023 |
0
|
0
|
0
|
0
|
| 34 | August, 2023 |
0
|
0
|
0
|
0
|
| 35 | September, 2023 |
0
|
0
|
0
|
0
|
| 36 | October, 2023 |
0
|
0
|
0
|
0
|
| 37 | November, 2023 |
0
|
0
|
0
|
0
|
| 38 | December, 2023 |
0
|
0
|
0
|
0
|
| 39 | January, 2024 |
0
|
0
|
0
|
0
|
| 40 | February, 2024 |
0
|
0
|
0
|
0
|
| 41 | March, 2024 |
0
|
0
|
0
|
0
|
| 42 | April, 2024 |
0
|
0
|
0
|
0
|
| 43 | May, 2024 |
0
|
0
|
0
|
0
|
| 44 | June, 2024 |
0
|
0
|
0
|
0
|
| 45 | July, 2024 |
0
|
0
|
0
|
0
|
| 46 | August, 2024 |
0
|
0
|
0
|
0
|
| 47 | September, 2024 |
0
|
0
|
0
|
0
|
| 48 | October, 2024 |
0
|
0
|
0
|
0
|
| 49 | November, 2024 |
0
|
0
|
0
|
0
|
| Grand Total |
0
|
0
|
0
|
0
|
The Trend of Annual Disposal of Complaints
| Sr. No. | Year | Carried forward from previous year | Received | Resolved* | Pending# |
| 1 | 2019-20 |
0
|
0
|
0
|
0
|
| 2 | 2020-21 |
0
|
0
|
0
|
0
|
| 3 | 2021-22 |
0
|
0
|
0
|
0
|
| 4 | 2022-23 |
0
|
0
|
0
|
0
|
| 5 | 2023-24 |
0
|
0
|
0
|
0
|
Send Your Complaint
SEBI Scores
There will be occasions when you have a complaint against a listed company/ intermediary registered with SEBI. In the event of such complaint you should first approach the concerned company/ intermediary against whom you have a complaint. However, you may not be satisfied with their response. Therefore, you should know whom you should turn to, to get your complaint redressed. SEBI takes up complaints related to issue and transfer of securities and non-payment of dividend with listed companies. In addition, SEBI also takes up complaints against the various intermediaries registered with it and related issues. SCORES facilitates you to lodge your complaint online with SEBI and subsequently view its status.
SEBI’s Investment Advisers Regulations
SEBI’s has segregated the role of Advisors & Distributors. The intent has been to make sure that only genuine advisors can provide Advice and the investment product distributors only provide execution services. To know a bit more about SEBI’s IA regulations, click here
CERVIN is a pure Advisors and has no other lines of business. It does not have any PMS, asset management or broking services and purely works as an advisor to its clients. Click here to read our disclosure document.