Investor Charter
SBR Prosperity Compass LLP
AMFI Registered Mutual Fund Distributor | ARN – 305600
In accordance with SEBI circular SEBI/HO/IMD/IMD-PoD-1/P/CIR/2021/697 dated December 28, 2021
Our Vision
To be a trusted partner in our investors’ financial journey, helping them achieve their financial goals through disciplined and informed investing in mutual funds.
Rights of Investors
As an investor, you have the right to:
- Receive fair, transparent and honest advice based on your financial goals and risk profile
- Be informed about all relevant facts about mutual fund schemes before investing
- Receive complete disclosure of commissions earned by your distributor
- Have your grievances redressed promptly and fairly
- Choose to invest in Direct Plans without going through a distributor
- Change your distributor at any time without requiring a No Objection Certificate (NOC)
- Access all scheme-related documents including SID, SAI and KIM
- Receive periodic account statements and portfolio updates
Our Obligations to Investors
As your Mutual Fund Distributor, we commit to:
- Act in your best interest at all times (fiduciary duty)
- Recommend schemes suitable to your financial goals, risk profile and investment horizon
- Disclose all material information including commissions received
- Not churn your portfolio to earn higher commissions
- Not pass back or rebate commission to attract investments
- Maintain confidentiality of your personal and financial information
- Assist you in resolving any grievances promptly
- Keep our AMFI registration (ARN) valid and renewed at all times
- Adhere to the AMFI Code of Conduct for Mutual Fund Distributors
Dos for Investors
- ✅ Read the Scheme Information Document (SID) and Key Information Memorandum (KIM) carefully before investing
- ✅ Invest based on your financial goals, risk appetite and investment horizon
- ✅ Provide accurate KYC information
- ✅ Keep your contact details and bank account updated with the AMC/RTA
- ✅ Regularly review your portfolio with your distributor
- ✅ Register your nominee for all investments
Don’ts for Investors
- ❌ Do not invest based on past returns alone
- ❌ Do not make investment decisions based on tips or rumours
- ❌ Do not sign blank forms or provide blank cheques
- ❌ Do not share your folio number, PAN or bank details with unknown persons
- ❌ Do not accept assured or guaranteed returns — mutual funds do not offer guaranteed returns
Grievance Redressal
For any grievances, please contact us at support@theprudentinvestor.in or visit our Investor Grievance page.
You may also approach SEBI SCORES at scores.sebi.gov.in or call 1800 266 7575.
Mutual fund investments are subject to market risks. Please read the scheme information and other related documents carefully before investing.