SEBI Disclosures
This page contains all the regulatory disclosures required to be displayed on the website. To learn more about this, you can view the SEBI Circular here
SEBI Registration Details
Firm Name: Finvin Financial Planners | RIA No: INA000015534 | Reg. Type: Non-Individual | Validity: Perpetual | Reg. address: 10. Ground Floor, Olive Excel CHS Ltd, Plot No- 16, Sector 42, Nerul, Navi Mumbai – 400 706 | Phone: 9820843739
Associated SEBI regional office: Plot No. C 4-A , G Block, SEBI Bhavan, Bandra Kurla Complex, Bandra East,. Mumbai – 400051
Regulatory Complaints Disclosure
SEBI mandates all RIAs to display the complaints status on the website as shown below. Investors can first contact the intermediary in case of complaints, in our case through the contact us page. The SEBI ‘SCORES’ website that facilitates investors in logging any complaints against listed companies or intermediaries can be accessed here.
Data as of last month ending : Apr, 2023
| Sr. No. | Received from | Pending at the end of last month | Received | Resolved* | Total Pending# | Pending complaints > 3 months | Average Resolution time^(in days) |
|---|---|---|---|---|---|---|---|
| 1. | Directly from Investors | 0 | 0 | 0 | 0 | 0 | 0 |
| 2. | SEBI(SCORES) | 0 | 0 | 0 | 0 | 0 | 0 |
| 3. | Other Sources(if any) | 0 | 0 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 | 0 | 0 |
^ Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.
Trend of monthly disposal of complaints
| Sr.No. | Month | Carried forward from previous month | Received | Resolved* | Pending# |
|---|---|---|---|---|---|
| 1. | Apr, 2022 | 0 | 0 | 0 | 0 |
| 2. | May, 2022 | 0 | 0 | 0 | 0 |
| 3. | June, 2022 | 0 | 0 | 0 | 0 |
| 4. | July, 2022 | 0 | 0 | 0 | 0 |
| 5. | Aug, 2022 | 0 | 0 | 0 | 0 |
| 6. | Sep, 2022 | 0 | 0 | 0 | 0 |
| 7. | Oct, 2022 | 0 | 0 | 0 | 0 |
| 8. | Nov, 2022 | 0 | 0 | 0 | 0 |
| 9. | Dec, 2022 | 0 | 0 | 0 | 0 |
| 10. | Jan, 2023 | 0 | 0 | 0 | 0 |
| 11. | Feb, 2023 | 0 | 0 | 0 | 0 |
| 12. | Mar, 2023 | 0 | 0 | 0 | 0 |
| 13. | Apr, 2023 | 0 | 0 | 0 | 0 |
Trend of annual disposal of complaints
| Sr. No. | Year | Carried forward from previous year | Received | Resolved* | Pending# |
|---|---|---|---|---|---|
| 1. | 2020-21 | 0 | 0 | 0 | 0 |
| 2. | 2021-22 | 0 | 0 | 0 | 0 |
| 3. | 2022-23 | 0 | 0 | 0 | 0 |
*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.
“Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year are as under :
| S. No. | Financial Year | Compliance Audit Status | Remarks, if any |
| 1 | FY 2020-21 | Conducted | None |
| 2 | FY 2021-22 | Conducted | None |
| 2 | FY 2022-23 | – | – |
SEBI Investor Charter
To facilitate investor awareness, SEBI has created an ‘Investor Charter’ pertaining to Investment Advisers, displayed below for your reference.
