Disclosures

Grievance Scorecard as on 31st March 2024

SNRecieved FromPending for last monthRecieved this monthResolved in this monthTotal Pending
1Directly from Investors0000
2From SEBI Scores0000
3Any other source0000
TOTAL0000

Monthly disposal of complaints

SNMonthCarry Forward
from
last month
Recieved ResolvedTotal Pending
1April 240000

Previous Year disposals of complaints

SNYearCarry forward from
previous year
RecievedResolvedTotal Pending
1FY2022-230000
2FY2023-240000

Compliance Audit Status

SNFinancial Year Audit StatusRemarks
1FY2022-23CompletedNil
2FY2023-24Pending

Grievance Redressal Policy

Objective: To ensure a smooth and efficient system to deliver the best and most honest service to the client by ensuring quick and effective resolution of client complainants This policy document is to enable to put in place an effective and suitable mechanism for receiving and addressing complaints from investors with specific emphasis on resolving such complaints fairly and expeditiously.

The Adviser will treat all the complaints efficiently and fairly without any bias. Complaint or grievance is “an expression of dissatisfaction” made by the Investor related to the services of the Adviser in respect of the any of the transaction undertaken by Adviser in its capacity as an Investment Advisor. This however needs to be differentiated from matters like general feedback, enquiry, etc. Client/ Customer shall mean client/ customer with valid letter of engagement. Redressal can be defined as a process or action resulting in giving solution to the problem faced by an Investor.

Guiding Principles

· Transparency: The “Investor” to be provided with information regarding the channels to convey and resolve their issues. In addition, if the resolution is expected to take longer time, same should be communicated to the Investor.

· Accessibility: The Company will enable the Investors to communicate their complaints/issues and avail redressal services through multiple channels.

· Escalation: Information on the process of escalation of complaints to higher level in case the Investor is not satisfied with the resolution provided by the current person handling the same.

Redressal Process

The 1st options or channels available to Investors for registering their complaints are as follows:

  1. E-Mail: Investors can log their complaint or escalate the investor grievance to an email id: arunmathur@dhantripti.com
  • Mobile No. of advisor: 9910253723

Resolution of Complaints:

All complaints received shall be recorded internally including how the same has been resolved, time for Response, general Turn Around Time (TAT) for response to complaint is (from the receipt of the valid complaint in writing/email) and not more than as follows.

Investment Advisory related – 10 working days

Legal notices – 30 working days

Cases involving third party- 30 working days.

Fraud related – 45 working days.

All other cases- 30 working days.

Scores related- as specified by the regulator from time to time.

Note: The above TAT can change depending upon the nature and complexity of complaint

  • Escalation of Complaints to SEBI Complaints Redress System (SCORES):

In case, investor is not satisfied with our response, he /she can lodge his / her grievances with SEBI at website for SEBI Complaints Redress System (SCORES) http://scores.gov.in or by downloading mobile application using link https://play.google.com/store/apps/details?id=com.ionicframework.sebi236330. He / she may also write to any of the offices of SEBI.

SEBI maintains SCORES which is a web based centralized grievance redressal system of SEBI. Investors can lodge their grievances / complaints through the SCORES link available on the SEBI website. SCORES enables investors to lodge and follow up their complaints and track the status of redressal of such complaints online from the above website from anywhere. Investors can also lodge grievances / complaints in physical form at any of the offices of SEBI. Such grievances complaints would be scanned and uploaded in SCORES for processing. For any queries, feedback, or assistance, please contact SEBI Office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575. Investor may also note the following details of Lucknow regional office: SEBI   3rd Floor, Eldeco Corporate Chambers-II, Vibhuti Khand, Gomti Nagar, Lucknow – 226 010 – Tel: +91-522-6005226, E-mail : lucknow-lo@sebi.gov.in

Warnings and Disclosures:

“Investment in securities market are subject to market risks. Read all the related documents carefully before investing.” “Registration granted by SEBI, membership of BASL and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors”