COMPLIANCE

COMPLIANCE

SEBI through its circular SEBI/HO/IMD/DF1/CIR/P/2019/169 dated 27th December 2019 has directed all registered Investment Advisers under IA Regulations, 2013 to display the compliant status of their website. Accordingly, we are displaying the same below and will be updated on a monthly basis:

SEBI through its circular SEBI/HO/IMD/DF1/CIR/P/2019/169 dated 27th December 2019 has directed all registered Investment Advisers under IA Regulations, 2013 to display the compliant status of their website. Accordingly, we are displaying the same below and will be updated on a monthly basis:

Complaint Status

(as on 01st May 2021)

100
Number of
Complaints
100
At the beginning
of the month
100
Received during
the month
100
Resolved during
the month
100
Pending at the end
of the month
Reasons for Pendency

Not Applicable

Displaying SEBI registered complaints as per latest SEBI guideline

Grievance Redressal

Information regarding Investor Grievance Redressal Mechanism in Accordance with SEBI Circular No CIR/MIRSD/3/2014 dated 28th August 2014

In case of any complaints / grievances against your Investment Advisor,

Please contact Compliance Division of your Investment Adviser

Mr. Steven Nelson Fernandes on steven@proficientplanners.com and mobile number +91 9821465874.

If you are not satisfied with the response, you can contact SEBI through their Grievance Redressal Portal at http://scores.gov.in or you may also write to any offices of SEBI. For any queries, feedback or assistance, please contact SEBI office on Toll Free Helpline at 1800 22 7575 / 1800 266 7575

Steven Nelson Fernandes

Investment Adviser

Category : Individual

Registration No.: INA000001597
Valid until cancelled

Registered Address: C5-602, Hyde Park Orchid CHS, Ghodbunder Road,
Thane (W) – 400610.

Mobile: +91 9821465874

Email: steven@proficientplanners.com

SEBI Bhavan BKC

Plot No C4-A, G Block, BKC,
Bandra (E), Mumbai 400051

Tel: +91-22-26449000 / 40459000
Tel: +91-22-26449950 / 40459950

Toll-Free Investor Helpline: 1800 22 7575

Email: sebi@sebi.gov.in

Grievance Redressal

Information regarding Investor Grievance Redressal Mechanism in Accordance with SEBI Circular No CIR/MIRSD/3/2014 dated 28th August 2014

In case of any complaints / grievances against your Investment Advisor, Please contact Compliance Division of your Investment Adviser

Mr. Steven Nelson Fernandes on
steven@proficientplanners.com
and mobile number
+91 9821465874.

If you are not satisfied with the response, you can contact SEBI through their Grievance Redressal Portal at http://scores.gov.in or you may also write to any offices of SEBI. For any queries, feedback or assistance, please contact SEBI office on Toll Free Helpline at
1800 22 7575 / 1800 266 7575

Steven Nelson Fernandes

Investment Adviser

Category : Individual

Registration No.: INA000001597
Valid until cancelled

Registered Address: C5-602, Hyde Park Orchid CHS, Ghodbunder Road,
Thane (W) – 400610.

Mobile: +91 9821465874

Email: steven@proficientplanners.com

SEBI Bhavan BKC

Plot No C4-A, G Block, BKC,
Bandra (E), Mumbai 400051

Tel: +91-22-26449000 / 40459000
Tel: +91-22-26449950 / 40459950

Toll-Free Investor Helpline:
1800 22 7575

Email: sebi@sebi.gov.in