INVESTOR GRIEVANCE REDRESSAL POLICY

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PREAMBLE

We Ladderup Wealth Management Private Limited, SEBI Registered Investment Advisor (hereinafter referred as “The LWMPL”) believe that Investor service is a vital element for sustained business growth, and we want to ensure that our Investors receive exemplary service across different touch points. Prompt and efficient service is essential for retaining existing relationships and therefore Investor satisfaction becomes critical to us. Investor queries and complaints constitute an important voice of Investor, and this policy details grievance handling through a structured grievance redressal framework. Grievance redressal is supported by a review mechanism, to minimize the recurrence of similar issues in future.

OBJECTIVE

  • Issues raised by investors are dealt with courtesy and are resolved on time.
  • The LWMPL will treat all the complaints efficiently and fairly without any bias.

PROCEDURE FOR REGISTRATION OF COMPLIANTS WITH THE COMPANY

Investors can log their complaint to an email id at investor@ladderup.com.

RESPONSIBLE PERSON FOR GRIEVANCE REDRESSAL

  1. Primary responsibility is with the Compliance Officer to resolve the complaint for which he would liaise with the other relevant departments (like Investment Advisory, Operations, Accounts, Legal, Compliance etc.).
  2. If the issue cannot be resolved by the Compliance Officer, the same will be escalated to the Senior Management.

TIME FOR RESPONSE

General Turn Around Time (TAT) for response to complaint is (from the receipt of the valid complaint in writing):

  • Allotment/ Refund related – 10 working days
  • Legal notices – 30 working days
  • Cases involving third party- 30 working days
  • Fraud related – 45 working days
  • All other cases- 30 working days
  • Scores related- as specified by the regulator from time to time

Note: The above TAT can change depending upon the nature and complexity of complaint.

ESCALATION OF COMPLAINTS

If an investor is not satisfied with the resolution provided through various channels or the method of handling complaint; the investor can escalate the issues to the next higher level i.e., to the Managing Director of the Company. Such escalation should be made in writing and should be delivered in the hard copy to the Registered office of the company or may be mailed at raghvendra@ladderup.com

SEBI COMPLAINTS REDRESS SYSTEM (SCORES)

SEBI maintains SCORES which is a web based centralized grievance redressal system of SEBI. Investors can lodge their grievances / complaints through the SCORES link available on the SEBI website. SCORES enables investors to lodge and follow up their complaints and track the status of redressal of such complaints online from the above website from anywhere. Investors can also lodge grievances / complaints in physical form at any of the offices of SEBI. Such grievances complaints would be scanned and uploaded in SCORES for processing.