For Individuals & Families Regulatory Disclosures

Regulatory Disclosures

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Details of the Investment Adviser

Name: Credit Suisse Securities (India) Limited
Type of Registration Non Individual Investment Adviser
Registered and Correspondence Address: Ceejay House,
9th Floor,
Plot F, Shivsagar Estate,
Dr. Annie Besant Road,
Worli,
Mumbai – 400018
Telephone: +91 22 6777 3777
Fax: +91 22 6777 3866
Website: www.credit-suissee.com
SEBI Registration Details
SEBI Registration Number: Investment Adviser: INA000014401
Name of Principal Officer: Puneet Matta
Telephone: +91 22 6777 3853
Email: puneet.matta@credit-suisse.com
Complaints Escalations Email: list.indiapbcompliance@credit-suisse.com
Corresponding SEBI Address: SEBI Bhavan, BKC Plot No: C4-A, “G” Block,
Bandra Kurla Complex, Bandra – East,
Mumbai - 400051

Filing Complaints on SCORES – Easy & Quick

  1. Register on SCORES portal:
  2. Mandatory details for filing complaints on SCORES:
    a) Name, PAN, Address, Mobile Number, E-mail ID
  3. Benefits:
    a) Effective Communication.
    b) Speedy redressal of grievances.

Risk Factors and Other Disclosures

File: Risk Factors and Other Disclosures (PDF)

Investor Charter Complaints

Investor Charter Complaints – IA (PDF)

Status of Investor Complaints

Credit Suisse Securities (India) Private Limited 
As prescribed under SEBI Circular No. SEBI/HO/IMD/DF1/CIR/P/2019/169 dated December 27, 2019 under SEBI (Investment Advisers) Regulations, 2013

Number of Complaints for 2024

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

January 0 0 0 0 0
February 0 0 0 0 0

Disclaimer

Please note:

  1. Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
  2. Investment in securities market is subject to market risks. Read all the related documents carefully before investing.

Number of Complaints for 2023

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

January 0 0 0 0 0
February 0 0 0 0 0
March 0 0 0 0 0
April 0 0 0 0 0
May 0 0 0 0 0
June 0 0 0 0 0
July 0 0 0 0 0
August 0 0 0 0 0
September 0 0 0 0 0
October 0 0 0 0 0
November 0 0 0 0 0
December 0 0 0 0 0

Disclaimer

Please note:

  1. Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
  2. Investment in securities market is subject to market risks. Read all the related documents carefully before investing.

Number of Complaints for 2022

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

January 0 0 0 0 0
February 0 0 0 0 0
March 0 0 0 0 0
April 0 0 0 0 0
May 0 0 0 0 0
June 0 0 0 0 0
July 0 0 0 0 0
August 0 0 0 0 0
September 0 0 0 0 0
October 0 0 0 0 0
November 0 0 0 0 0
December 0 0 0 0 0

Details of Regulatory Licenses

Credit Suisse Securities (India) Private Limited has the following regulatory licenses:

  1. Stock Broker: SEBI Registration Number (NSE & BSE) - INZ000248233;
  2. Portfolio Manager: SEBI Registration Number - INP000002478;
  3. Investment Adviser: SEBI Registration Number - INA00014401;
  4. Research Analyst: SEBI Registration Number - INH000001030;
  5. Merchant Banker: SEBI Registration Number - INM000011161;
  6. Mutual Fund Distributer: AMFI Registration Number - ARN-53956.

Number of Complaints for 2021

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

January 0 0 0 0 0
Februrary 0 0 0 0 0
March 0 0 0 0 0
April 0 0 0 0 0
May 0 0 0 0 0
June 0 0 0 0 0
July 0 0 0 0 0
August 0 0 0 0 0
September 0 0 0 0 0
October 0 0 0 0 0
Novermber 0 0 0 0 0
December 0 0 0 0 0

Number of Complaints for 2020

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

January 0 0 0 0 0
Februrary 0 0 0 0 0
March 0 0 0 0 0
April 0 0 0 0 0
May 0 0 0 0 0
June 0 0 0 0 0
July 0 0 0 0 0
August 0 0 0 0 0
September 0 0 0 0 0
October 0 0 0 0 0
November 0 0 0 0 0
December 0 0 0 0 0

Number of Complaints for 2019 

Month

At the beginning of the month

Received during the month

Resolved during the month 

Pending at the end of the month

Reasons for pendency

December 0 0 0 0 0