We Provide The Best Service For You
This page contains all the regulatory disclosures required to be displayed on the website.To learn more about this, you can view the SEBI Circular here
Investor Charter in respect of Investment Adviser (IA)
Nishith Baldevdas - Investment Adviser Registered with SEBI Registration No - INA200005158
SEBI Registered Investment Advisor: Nishith Baldevdas - INA200005158
BASL Membership No : 1380
Registration Type : Individual
Validity : Perpetual
Principal Officer and Compliance Officer : Nishith Baldevdas
Reg Address: B 502 Geetanjali Apartment , No 15 Medavakkam Tank Road, 2nd street,Kilpauk,Chennai 600010
Registration granted by SEBI , Membership of BASL and Certification from NISM does in no way guarantee the performance of the Intermediary or provide any assurance of returns to Investors
SEBI REGIONAL / LOCAL OFFICE ADDRESS
Corresponding SEBI regional/local office address
The Regional Manager, Overseas Towers, 7th Floor, 756-L, Anna Salai, Chennai : 600002.
Tel : +91-44- 28880222 / 28526686
E-mail : sebisro@sebi.gov.in
Fax: +91-44 -28880333
Our Services
We Provide the Best Service for You
This page contains all the regulatory disclosures required to be displayed on the website. To learn more about this, you can view the SEBI Circular here
Grievance Redressal / Escalation Matrix
| Details of designation | Contact Person Name | Address where the physical address location | Contact No | Email-ID | Working hours when complainant can call |
|---|---|---|---|---|---|
| Customer Care | Nishith Baldevdas | B 502 Geetanjali Apartment, No 15 Medavakkam Tank Road, 2nd Street,Kilpauk,Chennai 600010 | +919840718371 | Nishith@shreefinancial.com | 10 AM to 1 PM and afternoon 2 PM to 5 PM(Monday to Friday; except public holidays) |
| Head of Customer Care | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned |
| Compliance Officer | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned |
| CEO | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned |
| Principal Officer | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned | same as above-mentioned |
Our Services
Regulatory Complaints Disclosure
SEBI mandates all RIAs to display the status of the complaints on the website as shown below. Investors can first contact the intermediary in case of complaints, in our case through the Contact Us page. If you are still not satisfied, the grievance can be lodged with SEBI at SCORES www.scores.gov.in and can also access the SEBI's Online Dispute Resolution Portal at www.smartodr.in
Last Month Disposal of Complaints (Data As of Last Month Ending - 31st January 2025)
| S. no | Received From | Pending as of last month | Received | Resolved | Total Pending | Pending > 3 months | Average Resolution Time |
|---|---|---|---|---|---|---|---|
| NA | Total | 0 | 0 | 0 | 0 | 0 | 0 |
| 1 | Directly from investors | 0 | 0 | 0 | 0 | 0 | 0 |
| 2 | SEBI - SCORES | 0 | 0 | 0 | 0 | 0 | 0 |
| 3 | Other sources | 0 | 0 | 0 | 0 | 0 | 0 |
* Inclusive of complaints of previous months/years resolved in the current month/year |
^Time in days | # Inclusive of complaints pending as on the last day of the month/year
Trend Of Monthly Disposal Of Complaints
| S. no | Month | Carried from previous month | Received | Resolved | Pending |
|---|---|---|---|---|---|
| 1 | Apr-23 | 0 | 0 | 0 | 0 |
| 2 | May-23 | 0 | 0 | 0 | 0 |
| 3 | Jun-23 | 0 | 0 | 0 | 0 |
| 4 | Jul-23 | 0 | 0 | 0 | 0 |
| 5 | Aug-23 | 0 | 0 | 0 | 0 |
| 6 | Sep-23 | 0 | 0 | 0 | 0 |
| 7 | Oct-23 | 0 | 0 | 0 | 0 |
| 8 | Nov-23 | 0 | 0 | 0 | 0 |
| 9 | Dec-23 | 0 | 0 | 0 | 0 |
| 10 | Jan-24 | 0 | 0 | 0 | 0 |
| 11 | Feb-24 | 0 | 0 | 0 | 0 |
| 12 | Mar-24 | 0 | 0 | 0 | 0 |
| 13 | Apr-24 | 0 | 0 | 0 | 0 |
| 14 | May-24 | 0 | 0 | 0 | 0 |
| 15 | Jun-24 | 0 | 0 | 0 | 0 |
| 16 | Jul-24 | 0 | 0 | 0 | 0 |
| 17 | Aug-24 | 0 | 0 | 0 | 0 |
| 18 | Sep-24 | 0 | 0 | 0 | 0 |
| 19 | Oct-24 | 0 | 0 | 0 | 0 |
| 20 | Nov-24 | 0 | 0 | 0 | 0 |
| 21 | Dec-24 | 0 | 0 | 0 | 0 |
| 22 | Jan-25 | 0 | 0 | 0 | 0 |
* Inclusive of complaints of previous months/years resolved in the current month/year |
^Time in days | # Inclusive of complaints pending as on the last day of the month/year
Trend Of Annual Disposal Of Complaints
| S. no | Month | Carried from previous month | Received | Resolved | Pending |
|---|---|---|---|---|---|
| 1 | 2013-14 | NA | NA | NA | NA |
| 2 | 2014-15 | NA | NA | NA | NA |
| 3 | 2015-16 | NA | NA | NA | NA |
| 4 | 2016-17 | NA | NA | NA | NA |
| 4 | 2017-18 | NA | NA | NA | NA |
| 5 | 2018-19 | NA | NA | NA | NA |
| 6 | 2019-20 | NA | NA | NA | NA |
| 7 | 2020-21 | NA | NA | NA | NA |
| 8 | 2021-22 | NA | NA | NA | NA |
| 9 | 2022-23 | NA | NA | NA | NA |
| 10 | 2023-24 | NA | NA | NA | NA |
| 11 | 2024-25 | NA | NA | NA | NA |
* Inclusive of complaints of previous months/years resolved in the current month/year |
^Time in days | # Inclusive of complaints pending as on the last day of the month/year
Disclosure With Respect To Compliance With Annual Compliance Audit Requirement Under Regulations 19(3) Of SEBI Investment Advisers Regulation 2013 For Last And Current Financial Year Are As Under :
| S. no | Financial Year | Compliance Audit Status | Remarks, if any |
|---|---|---|---|
| 1 | 2013-14 | NA | NA |
| 2 | 2014-15 | NA | NA |
| 3 | 2015-16 | NA | NA |
| 4 | 2016-17 | NA | NA |
| 4 | 2017-18 | NA | NA |
| 5 | 2018-19 | NA | NA |
| 6 | 2019-20 | NA | NA |
| 7 | 2020-21 | NA | NA |
| 8 | 2021-22 | NA | NA |
| 9 | 2022-23 | NA | NA |
| 10 | 2023-24 | NA | NA |
| 11 | 2024-25 | NA | NA |
* Inclusive of complaints of previous months/years resolved in the current month/year |
^Time in days | # Inclusive of complaints pending as on the last day of the month/year
SEBI's Investor Charter In Respect Of Investment Advisers (IAs)
A. Vision And Mission Statements For Investors
Vision: Invest with knowledge & safety.
Mission: Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.
B. Details Of Business Transacted By The Investment Adviser With Respect To The Investors
To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information.
To do a proper and unbiased risk - profiling and suitability assessment of the client.
To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
To conduct audit annually.
To disclose the status of complaints in its website.
To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in its website.
To employ only qualified and certified employees.
To deal with clients only from official number.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.
C. Details Of Services Provided To Investors (No Indicative Timelines)
Onboarding of Clients
Sharing of agreement copy
Completing KYC of clients
Disclosure to Clients
To provide full disclosure about its business, affiliations, compensation in the agreement.
To not access client's accounts or holdings for offering advice.
To disclose the risk profile to the client.
To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
D. Details Of Grievance Redressal Mechanism And How To Access It
In case of any grievance / complaint, an investor should approach the concerned Investment Adviser and shall ensure that the grievance is resolved within 30 days.
If the investor's complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI's 'SCORES' portal which is a centralized web based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.
With regard to physical complaints, investors may send their complaints to: Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan, Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051.
In case you are not satisfied with our response, you can undertake online conciliation and/or online arbitration by participating in the ODR Portal and/or undertaking dispute resolution in the manner specified in 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". The ODR portal can be accessed at https://smartodr.in/
E. Expectations From The Investors (Responsibilities Of Investors)
Do's
Always deal with SEBI registered Investment Advisers.Ensure that the Investment Adviser has a valid registration certificate.Check for SEBI registration number. (Please refer to the list of all SEBI registered Investment Advisers which is
available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13)Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice.Assess the risk-return profile of the investment as well as the liquidity and safety aspects before making investments.Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with any Investment Adviser.Be vigilant in your transactions.Approach the appropriate authorities for redressal of your doubts / grievances.Inform SEBI about Investment Advisers offering assured or guaranteed returns.
Dont's
Don't fall for stock tips offered under the pretext of investment advice.
Do not provide funds for investment to the Investment Adviser.
Don't fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don't let greed overcome rational investment decisions.
Don't fall prey to luring advertisements or market rumors.
Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.
Don't take decisions just because of repeated messages and calls by Investment Advisers.
Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers.
Don't rush into making investments that do not match your risk taking appetite and investment goals.
Do not share login credential and password of your trading and demat accounts with the Investment Adviser.