Investor Charter of Quantum Information Services Private Limited

RESEARCH ANALYSTS DEPARTMENT

Below is the Investor Charter of Quantum Information Services Private Limited (hereinafter ‘QIS’) (having its brand named under “PersonalFN”). This is as per SEBI Circular SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0685 dated December 13, 2021:

  1. Vision and Mission Statements for subscribers of QIS:

    • 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.

  2. Details of business transacted by QIS with respect to its subscribers:

    • To publish research report based on our research activities of the RA.
    • To provide an independent unbiased view on securities.
    • To offer unbiased recommendation, disclosing the financial interests in recommended securities.
    • To provide research recommendation, based on analysis of publicly available information and known observations.
    • To conduct audit annually.
  3. Details of services provided to QIS subscribers

    • Onboarding of Clients
    • Disclosure to Clients
      • To distribute research reports and recommendations to the clients without discrimination.
      • To maintain confidentiality w.r.t publication of the research report until made available in the public domain.
  4. Details of grievance redressal mechanism and how to access it

    In case of any grievance / complaint, a subscriber should approach us via email at complaint@personalfn.com. We shall ensure that the grievance is resolved within 30 working days.

    Please note: If complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI's SCORES portal @ https://scores.gov.in 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, complaints may be sent 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.

  5. Expectations/Responsibilities from the Subscribers of QIS as per SEBI Circular:

    • Do's
      • Always deal with SEBI registered Research Analyst.
      • Ensure that the Research Analyst has a valid registration certificate.
      • Check for SEBI registration number.
      • Please refer to the list of all SEBI registered Research Analysts which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14
      • Always pay attention towards disclosures made in the research reports before investing.
      • Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments.
      • Before buying securities or applying in public offer, check for the research recommendation provided by your research Analyst.
      • Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
      • Inform SEBI about Research Analyst offering assured or guaranteed returns.
    • Don'ts
      • Do not provide funds for investment to the Research Analyst.
      • Don't fall prey to luring advertisements or market rumours.
      • Do not get attracted to limited period discount or other incentive, gifts, etc. offered by Research Analyst.
      • Do not share login credentials and password of your trading and demat accounts with the Research Analyst.

ANNEXURE B

Complaint Data of Quantum Information Services Private Limited

Research Analysts Department

  1. Data for the month ending – September 2022

  2. Sr. No. Received from Pending at the end of Last month Received Resolved* Total Pending# Pending complaints > 3months Average Resolution time^(in days)
    1. Directly from Investors NA NA NA NA NA NA
    2. SEBI (SCORES) NA NA NA NA NA NA
    3. Other Sources(if any) NA NA NA NA NA NA
    Grand Total NA NA NA NA NA NA

    ^ 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.

  3. Trend of monthly disposal of complaints

  4. Sr. No. Month Carried Forward from previous month Received Resolved* Pending#
    1. April, 2022 NA NA NA NA
    2. May, 2022 NA NA NA NA
    3. June, 2022 NA NA NA NA
    4. July, 2022 NA NA NA NA
    5. August, 2022 NA NA NA NA
    6. September, 2022 NA NA NA NA
    Grand Total NA NA NA NA

    * Inclusive of complaints of previous months resolved in the current month. # Inclusive of complaints pending as on the last day of the month.

  5. Trend of annual disposal of complaints

  6. Sr. No. Year Carried Forward from previous year(financial year) Received Resolved* Pending#
    1. 2018-19 NA 5 5 Nil
    2. 2019-20 NA 4 4 Nil
    3. 2020-2021 NA 3 3 Nil
    4. 2021-2022 NA 2 2 Nil
    Grand Total NA 14 14 Nil

    * Inclusive of complaints of previous years resolved in the current years . # Inclusive of complaints pending as on the last day of the years .