Investor Charter

To provide transparent, compliant, and efficient financial product distribution services while ensuring fair treatment and access to relevant information for investors.

To operate in accordance with applicable regulatory guidelines and maintain high standards of integrity, transparency, and professionalism in mutual fund distribution services.

As an investor, you have the right to:

• Receive accurate and complete information about financial products before investing
• Know the commission earned by the distributor on your investments
• Receive transaction confirmations, account statements, and portfolio reports
• Have access to grievance redressal mechanisms
• Have your complaints acknowledged and addressed in a timely manner
• Escalate unresolved complaints through SEBI SCORES (https://scores.sebi.gov.in/) or SMART ODR (https://smartodr.in)
• Access personal data and exercise applicable rights under relevant data protection laws
• Be treated in a fair and transparent manner

As an investor, you are expected to:

• Provide accurate and complete information during onboarding and KYC
• Read all relevant product and scheme-related documents carefully before investing
• Keep personal and contact details updated
• Complete KYC formalities as required
• Maintain records of investment documents and communications
• Understand that investments are subject to market risks

Dhariwal Securities Private Limited endeavours to:

• Process transactions as per timelines prescribed by product providers and platforms
• Acknowledge and address investor queries and complaints in a timely manner
• Maintain confidentiality of investor data in accordance with applicable laws
• Disclose commissions earned on investor transactions
• Ensure that no returns are guaranteed or assured

Do's:

• Read scheme and product documents carefully before investing
• Verify distributor details on the AMFI website (www.amfiindia.com)
• Complete KYC formalities
• Review investments periodically
• Report discrepancies promptly

Don'ts:

• Do not invest based on unverified information or rumours
• Do not sign blank forms or issue blank cheques
• Do not invest in products without understanding associated risks
• Do not ignore risk profiling requirements
• Do not expect assured returns from market-linked investments