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Investor Charter and disclosure of Investor Complaints
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Stock Broker

Investor Charter - Stock Broker

Complaints Disposal Data/Trend

Data for every month ending April - 2025
S. N. Received from Carried forward from previous month Received during the month Total Pending Resolved* Pending at the end of the month** Average Resolution time^ (in days)
Pending for less than 3 months Pending for more than 3 month
1 Directly from Investors 0 0 0 0 0 0 0
2 SEBI (SCORES) 0 0 0 0 0 0 0
3 Stock Exchanges 0 0 0 0 0 0 0
4 Other Sources (if any) 0 0 0 0 0 0 0
Grand Total 0 0 0 0 0 0 0
Trend of monthly disposal of complaints 2024-2025
S. N. Month Carried forward from previous month Received during the month Resolved* Pending **
1 Apr - 2024 0 0 0 0
2 May - 2024 0 0 0 0
3 Jun - 2024 0 0 0 0
4 Jul - 2024 0 0 0 0
5 Aug - 2024 0 0 0 0
6 Sep - 2024 0 0 0 0
7 Oct - 2024 0 0 0 0
8 Nov - 2024 0 0 0 0
9 Dec - 2024 0 0 0 0
10 Jan - 2025 0 0 0 0
11 Feb - 2025 0 0 0 0
12 Mar - 2025 0 0 0 0
13 Apr - 2025 0 0 0 0
Grand Total 0 0 0 0
Trend of annual disposal of complaints
S. N. Year Carried forward from previous year Received during the year Resolved during the year Pending at the end of the year
1 2017-18 0 0 0 0
2 2018-19 0 0 0 0
3 2019-20 0 20 16 4
4 2020-21 4 3 7 0
5 2021-22 0 1 1 0
6 2022-23 0 0 0 0
7 2023-24 0 0 0 0
8 2024-25 0 0 0 0
9 2025-26 0 0 0 0
Grand Total 4 24 24 4

Depository Participant

Investor Charter - Depository Participant

Complaints Disposal Data/Trend

Data for every month ending April - 2025
S. N. Received from Carried forward from previous month Received during the month Total Pending Resolved* Pending at the end of the month** Average Resolution time^ (in days)
Pending for less than 3 months Pending for more than 3 month
1 Directly from Investors 0 0 0 0 0 0 0
2 SEBI (SCORES) 0 0 0 0 0 0 0
3 Stock Exchanges 0 0 0 0 0 0 0
4 Other Sources (if any) 0 0 0 0 0 0 0
Grand Total 0 0 0 0 0 0 0
Trend of monthly disposal of complaints
S N Month Carried forward from previous month Received during the month Resolved* Pending **
1 Apr - 2024 0 0 0 0
2 May - 2024 0 0 0 0
3 Jun - 2024 0 0 0 0
4 Jul - 2024 0 0 0 0
5 Aug - 2024 0 0 0 0
6 Sep - 2024 0 0 0 0
7 Oct - 2024 0 0 0 0
8 Nov - 2024 0 0 0 0
9 Dec - 2024 0 0 0 0
10 Feb - 2025 0 0 0 0
11 Mar - 2025 0 0 0 0
12 Apr - 2025 0 0 0 0
Grand Total 0 0 0 0
Trend of annual disposal of complaints
S. N. Year Carried forward from previous year Received during the year Resolved during the year Pending at the end of the year
1 2017-18 0 0 0 0
2 2018-19 0 0 0 0
3 2019-20 0 0 0 0
4 2020-21 0 4 4 0
5 2021-22 0 2 2 0
6 2022-23 0 0 0 0
7 2023-24 0 0 0 0
8 2024-25 0 2 2 0
9 2025-26 0 0 0 0
Grand Total 0 8 8 0

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Broking and DP services offered by Wealthstreet Financial Services Private Limited under SEBI Registration No.: INZ000157331 (Member of NSE(90118), BSE(6668) and MCX(55870)) and IN-DP-CDSL-361-2018 (DP with CDSL). Investor grievance resolution team, Tel: 079-66775500, Email ID: grievance@wealthstreet.in. Name of the Compliance Officer for Trading & DP – Mr. Suren Pandya, Email ID: compliance@wealthstreet.in. Corporate Office: A – 1101, Mondeal Heights, S.G.Highway, Ahmedabad – 380015.; Tel. 079-66775500.

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Important Guidelines for Your Protection 1. Update Your Contact Information Ensure that your mobile number and email address are up to date with your stock broker and depository participant (DP). This ensures you receive real-time alerts directly from the exchanges regarding any debit or important transactions in your demat account. 2. Simplified IPO Subscription Subscribing to an IPO is easier than ever—no need to issue cheques! Simply provide your bank account number and sign the application form to authorize your bank to make the payment upon allotment. Your funds remain safe in your account until then. 3. One-Time KYC Process Know Your Customer (KYC) is a one-time requirement. Once completed with a SEBI-registered intermediary (broker, DP, mutual fund, etc.), you won’t need to repeat it for other intermediaries. 4. Be Cautious of Unsolicited Advice Stay alert to unsolicited emails, SMS messages, or calls that suggest trades. Make informed investment decisions based on thorough analysis and avoid acting on rumors or tips. 5. Report Wrongdoing and Unethical Practices If you become aware of systemic issues, potential fraud, or unethical practices, report them anonymously through the dedicated portals on the BSE, NSE, MCX, NCDEX, and CDSL websites. 6. Always Use SEBI-Registered Intermediaries To ensure the security of your investments, always transact through SEBI-registered intermediaries. This safeguards your trading experience and aligns with regulatory standards. These guidelines are issued in the interest of investors for a safer and more secure trading environment.