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Investor Charter — Investment Adviser

A. Vision

To act in the interest of investors in securities and to promote the development of, and to regulate, the securities market, to the extent and in the manner provided under the provisions of the Securities and Exchange Board of India Act, 1992.

B. Mission

  • SEBI has been established under the Securities and Exchange Board of India Act, 1992 with the primary objective and duty to protect the interests of investors in securities.
  • To promote the development of securities market.
  • To regulate the securities market.
  • For matters connected therewith or incidental thereto.

C. Business Transacted by the Investment Adviser

The Investment Adviser provides investment advice to clients after conducting a thorough risk profiling and suitability assessment. The advisory services include financial planning, portfolio review and rebalancing guidance, goal-based planning, and retirement planning, delivered through the Worth platform.

D. Services Provided

  • Financial planning and goal alignment
  • Portfolio review and rebalancing guidance
  • Retirement planning
  • Risk-profiling and suitability assessment
  • Founder financial strategy

All services are provided on a fee-only basis. The Investment Adviser does not handle, hold, or manage client funds. Advisory is provided through the Worth platform following a documented risk-profiling process.

E. Grievance Redressal Mechanism

Level 1: Directly contact the Investment Adviser at tanish@worthostech.com. Resolution within 21 working days.

Level 2: If not resolved, lodge a complaint on SCORES 2.0 at scores.sebi.gov.in.

Level 3: If not resolved via SCORES, escalate to SMART ODR at smartodr.in.

SEBI Toll-Free Helpline: 1800 22 7575 / 1800 266 7575

F. Rights of Investors

  • Obtain a copy of all documents executed for availing the advisory services.
  • Seek and obtain information relevant to the advisory services.
  • Expect impartial, un-biased advice from the Investment Adviser.
  • Expect that the Investment Adviser shall not access client funds or securities.
  • Lodge a complaint with the Investment Adviser in case of any grievance.
  • Escalate the complaint to SEBI through SCORES or SMART ODR if not resolved.

G. Expectations from Investors (Do's and Don'ts)

Do's:

  • Always deal with SEBI Registered Investment Advisers.
  • Ensure that the Investment Adviser has a valid registration certificate.
  • Check for SEBI registration number on the SEBI website.
  • Pay advisory fees only through banking channels and maintain proof.
  • Always ask for a risk profiling before accepting any advisory services.
  • Ask all relevant questions and clear your doubts before acting on advice.
  • Inform the Investment Adviser about any change in your risk profile, financial situation, or investment goals.
  • Always refer to the disclosure documents before availing of advisory services.

Don'ts:

  • Do not fall for stock tips or schemes promising assured or guaranteed returns.
  • Do not make payments to the personal bank account of the Investment Adviser.
  • Do not allow anyone to trade on your behalf.
  • Do not share your trading credentials (username, password) with the Investment Adviser.
  • Do not pay any fees in cash to the Investment Adviser.

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