TABLE OF CONTENTS

  1. Introduction

  2. Investor Charter Upload

  3. Complaints Data Upload

Introduction

SEBI has issued detailed mandates for both Research Analysts (RAs) and Investment Advisers (IAs) regarding:

  • Investor Charter disclosures, and

  • Transparency of investor complaints via public reporting.

This article outlines the process to help you stay compliant using the Publisher platform.
Latest SEBI Circulars (effective 2nd June 2025):


Investor Charter Upload

What is the Investor Charter?

The Investor Charter is a standardized SEBI-mandated document that outlines:

  • Services provided to investors

  • Investor rights, responsibilities, do’s & don’ts

  • Grievance redressal mechanisms and timelines

The format for this is provided in Annexure A of the relevant SEBI circulars linked above.


How to Upload the Investor Charter

  1. Log in to the Publisher platform: publisher.smallcase.com/login

  2. Navigate to the Profile tab

  3. Go to the Compliance sub-tab

  4. Scroll down to the Investor Charter Upload section

  5. Click Upload PDF and select the updated Investor Charter file

    • Ensure the PDF follows the prescribed format from SEBI

  6. Once uploaded, the document will be published to your microsite and smallcase properties within 24 hours


How It Appears to Users

  • On the microsite footer, users can click on Investor Charter section, which will allow them to download the latest version of Investor Charter


Complaints Data Upload

SEBI Requirements

To promote transparency, SEBI requires both RAs and IAs to disclose all complaints (including those on SCORES) on their public platforms.
The format to be used is specified in Annexure B of the circulars linked above.


Upload Process on Publisher Platform

  1. Go to the Compliance section under the Profile tab

  2. Under Complaints Data, you can upload three CSV files:

    • Current Month CSV: Complaints received during the most recent month

    • Monthly CSV: Complaints reported per month

    • Yearly CSV: Complaints reported per year

Each file must follow the SEBI-prescribed format. Sample CSVs are available for reference on the upload page.


Important Notes

  • Average resolution time must be provided in days

  • If no data is uploaded, an empty state with the message “No data available for the selected duration” will be displayed publicly

  • Post-upload, the complaints data is synced to your microsite within a few minutes


How It Appears to Users

  • On the microsite footer, users can click on Complaints Resolution section:

  • A popup will appear showing:

    • Current month’s complaint data

    • Historical monthly and yearly trends

    • Direct links to the SEBI SCORES website and apps


Complaints Resolution Popup


For any further questions or assistance, feel free to reach out to us at publisher.help@smallcase.com