SEBI Disclosures
Annexure B
Salma Sony – Investment Adviser Registered with SEBI
Investors’ Compliant Data for the month ending: November 30th, 2024
|
Sr. No
|
Received from
|
Pending at the end of last month
|
Received
|
Resolved *
|
Total Pending #
|
Pending complaint's > 3 Months
|
Average Resolution time^ (in days)
|
|---|---|---|---|---|---|---|---|
|
1
|
Directly from Investors to IA
|
0
|
0
|
Not applicable
|
0
|
0
|
Not applicable
|
|
2
|
SEBI (SCORES)
|
0
|
0
|
Not applicable
|
0
|
0
|
Not applicable
|
|
3
|
Other Sources (if any)
|
0
|
0
|
Not applicable
|
0
|
0
|
Not applicable
|
|
|
Grand Total
|
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.
Trend of monthly disposal of complaints
|
Sr. No
|
Month
|
Carried forward from previous month
|
Received
|
Resolved *
|
Pending #
|
|---|---|---|---|---|---|
|
1
|
Apr - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
2
|
May - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
3
|
June - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
4
|
July - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
5
|
Aug - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
6
|
Sep - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
7
|
Oct - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
8
|
Nov - 2024
|
0
|
0
|
Not applicable
|
Not applicable
|
|
9
|
Dec - 2024
|
-
|
-
|
-
|
-
|
|
10
|
Jan - 2025
|
-
|
-
|
-
|
-
|
|
11
|
Feb - 2025
|
-
|
-
|
-
|
-
|
|
12
|
Mar -2025
|
-
|
-
|
-
|
-
|
|
Grand Total
|
-
|
0
|
0
|
-
|
-
|
*Inclusive of complaints of previous months resolved in the current month.
#Inclusive of complaints pending as on the last day of the month.
Trend of annual disposal of complaints
|
Sr. No
|
Financial Year
|
Carried forward from previous month
|
Received
|
Resolved *
|
Pending #
|
|---|---|---|---|---|---|
|
1
|
2022-23
|
0
|
0
|
Not applicable
|
Not applicable
|
|
2
|
2023-24
|
0
|
0
|
Not applicable
|
Not applicable
|
|
3
|
2024-25
|
0
|
0
|
Not applicable
|
Not applicable
|
|
|
Grand Total
|
0
|
0
|
|
|
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 :
|
Sr. No
|
Financial Year
|
Compliance Audit Status
|
Remarks, if any
|
|---|---|---|---|
|
1
|
2022-23
|
Conducted
|
-
|
|
2
|
2023-24
|
Conducted
|
-
|
|
3
|
2024-25
|
-
|
-
|
