1. Disclosure – valid for every call of Rocket Trades
2. Grievance Redressal / Escalation Matrix
3. A. Vision and Mission Statements for investors
4. B. Details of business transacted by the Research Analyst with respect to the Investors:
5. C. Details of services provided to investors (No Indicative Timelines)
6. Investors have RIGHT to:
7. D. Details of grievance redressal mechanism and how to access it
8. E. Rights of investors
9. F. Expectations from the investors (Responsibilities of investors)
10. Do’s
11. Don’ts
12. Complaint Data for Month Ending – November 2025
13. Trend of monthly disposal of complaints
14. Trend of annual disposal of complaints

Disclosure – valid for every call of Rocket Trades

• Rocket Trades have no material adverse disciplinary history as on the date of publication of this report / research recommendation.
• Research Analyst has no associates.
• Rocket Trades or its employee or its associates may have beneficial ownership of 1% or more in the subject company at the end of the month immediately preceding the date of publication of the Research Report / research recommendation.
• Rocket Trades or its employee or its associates does not have any financial interest in the subject company.
• Rocket Trades or its employee or its associates have no actual or potential conflicts of interest arising from any connection to or association with any issuer of products/ securities, including any material information or facts that might compromise its objectivity or independence in the carrying on of recommendation services at the time of publication of the research report.
• Rocket Trades or its employee or its associates have not received any kind of remuneration or consideration or compensation form the subject company or from anyone in connection with the research report / research recommendation in the past twelve months.
• The subject company was not a client of Rocket Trades during twelve months preceding the date of distribution of the research report / research recommendation.
• Rocket Trades or its employee or its associates have not served as an officer, director or employee of the subject company.
• Rocket Trades or its employee or its associates have not been engaged in market making activity of the subject company.
• The research analyst has not used/ used artificial intelligence tools for preparation of the research report / research recommendation.

A. Vision and Mission Statements for investors

 Vision —– Invest with knowledge & safety.

 Mission —– Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

B. Details of business transacted by the Research Analyst with respect to the Investors:

• To publish research report based on the research activities of the RA

• To provide an independent unbiased view on securities.

• To offer unbiased recommendation, disclosing the financial interests in recommended securities.

• To provide research recommendation, based on analysis of publicly available information and known observations.

• To conduct audit annually

• To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.

• To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.

C. Details of services provided to investors (No Indicative Timelines)

• Onboarding of Clients
  • Sharing of terms and conditions of research services
  • Completing KYC of fee paying clients

• Disclosure to Clients:
  • To disclose, information that is material for the client to make an informed decision, including details of its business activity, disciplinary history, the terms and conditions of research services, details of associates, risks and conflicts of interest, if any
  • To disclose the extent of use of Artificial Intelligence tools in providing research services
  • To disclose, while distributing a third party research report, any material conflict of interest of such third party research provider or provide web address that directs a recipient to the relevant disclosures
  • To disclose any conflict of interest of the activities of providing research services with other activities of the research analyst.

• To distribute research reports and recommendations to the clients without discrimination.

• To maintain confidentiality w.r.t publication of the research report until made available in the public domain.

• To respect data privacy rights of clients and take measures to protect unauthorized use of their confidential information

• To disclose the timelines for the services provided by the research analyst to clients and ensure adherence to the said timelines

• To provide clear guidance and adequate caution notice to clients when providing recommendations for dealing in complex and high-risk financial products/services

• To treat all clients with honesty and integrity

• To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.

Secondly, please note the followings as well.

• We are neither offering execution services in any manner nor accepting any investing funds in our Bank accounts. Secondly, we are not even doing (self) trading.
• We are a research firm and not an advisory firm. Purely focusing on Research & Analysis Work.
• We do not offer financial planning, risk assessment or customization of offerings.
• We run our operations strictly as per requirements of the SEBI RA regulations.
• Please be sure before subscribing. All services are non-refundable. All Rights Reserved.

Investors have RIGHT to:

• We uphold a 30% risk limit on starting capital. Still, trading in the stock market can result in a partial or total loss of gains. It may also result in the loss of beginning capital.
• We will issue a refund once we cross a 30% loss. The loss is calculated on official entry prices multiplied by the officially advised lot size. The REFUND is 100% of the fee received from the client. This will occur within 45 calendar days counted from the official application for refund placed by the client via E-Mail. This refund is provided if the client does not want to continue.
• We are strictly offer ‘security specific services’ and not the ‘investor specific services’.

D. Details of grievance redressal mechanism and how to access it

In case of any grievance / complaint, an investor should approach Mr. Nilesh Jain and he shall make sure that the grievance is resolved within 21 days.

You can communicate your complain via this form.

Mode of filing the complaint on SCORES or with Research Analyst Administration and Supervisory Body (RAASB),

1. SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner) (https://scores.sebi.gov.in)

Two level review for complaint/grievance against Research Analyst:

• First review done by designated body (RAASB)
• Second review done by SEBI

Email to designated email ID of RAASB

If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

https://scores.sebi.gov.in/

SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.

With regard to physical complaints, investors may send their complaints to:

Office of Investor Assistance and Education,

Securities and Exchange Board of India,

SEBI Bhavan. Plot No. C4-A, ‘G’ Block,

Bandra-Kurla Complex, Bandra (E),

Mumbai – 400 051.

E. Rights of investors

 Right to Privacy and Confidentiality

 Right to Transparent Practices

 Right to fair and Equitable Treatment

 Right to Adequate Information

 Right to Initial and Continuing Disclosure – Right to receive information about all the statutory and regulatory disclosures

 Right to Fair & True Advertisement

 Right to Awareness about Service Parameters and Turnaround Times

 Right to be informed of the timelines for each service

 Right to be Heard and Satisfactory Grievance Redressal

 Right to have timely redressal

 Right to Exit from Financial product or service in accordance with the terms and conditions agreed with the research analyst

 Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services

 Additional Rights to vulnerable consumers – Right to get access to services in a suitable manner even if differently abled

 Right to provide feedback on the financial products and services used

 Right against coercive, unfair, and one-sided clauses in financial agreements

F. Expectations from the investors (Responsibilities of investors)

• Please do speak at-least once in week to clarify your doubts, discuss about Market expectations going ahead. We welcome your Call, SMS, E-Mail even during Market hours.
• Please,
  • Avoid Over Trading including Self Trading,
  • Do not leave (ignore) any given Trading Call,
  • Do not overlook Market updates / “ENTRY EXIT” Instructions,
  • Update your Entry Exit Prices and Open Positions periodically to us.
• Do not assume that we are running any assured (guaranteed) Profit Scheme / Plan. All our updates, reports, view, opinion, trading calls are exposed to the Market Risk.
• You are requested to follow our Updates in total. Most Importantly, Execution is your responsibility.
• Please ask all relevant questions and clear your doubts before acting on the recommendation.
• Always pay attention towards disclosures made in the research reports (WhatsApp Message) before investing.
• Our Banking channels’ payment details are disclosed in the Side Bar. This includes information found on footnotes. You must keep receipts mentioning the details of your payments to us.
• You must subscribe to E-Mail Inbox Service which will allow you to get website article delivered in to you instantly.
• All important details are mentioned on side bar and in foot notes. We believe you read and understood them. You must be aware of them before subscribing to Rocket Trades.
• You are prohibited from conducting trades based on information found on social media platforms. This includes articles, posts, and videos.
• You are prohibited from sharing our proprietary research with any third parties, including friends and family. This information is confidential and exclusively for the use of our paying clients.
• Please adhere to the provided instructions for updates. This includes specified Entry and Exit levels. Follow the corresponding trade quantity (number of lots). Deviating from these instructions will directly impact outcomes. It will introduce unnecessary complexity to our operations.

Do’s

• Always deal with SEBI registered Research Analyst.
• Ensure that the Research Analyst has a valid registration certificate.
• Check for SEBI registration number. Please refer to the list of all SEBI registered Research Analyst which is available on SEBI website in the following link:
  • https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=14)
    
• Always pay attention towards disclosures made in the research reports before investing.
• Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of fees through Centralized Fee Collection Mechanism (CeFCoM) of RAASB if research analyst has opted for the mechanism. (Applicable for fee paying clients only)
• Before buying/ selling securities or applying in public offer, check for the research recommendation provided by your Research Analyst.
• Ask all relevant questions and clear your doubts with your Research Analyst before acting on recommendation. viii. Seek clarifications and guidance on research recommendations from your Research Analyst, especially if it involves complex and high risk financial products and services.
• Always be aware that you have the right to stop availing the service of a Research Analyst as per the terms of service agreed between you and your Research Analyst.
• Always be aware that you have the right to provide feedback to your Research Analyst in respect of the services received.
• Always be aware that you will not be bound by any clause, prescribed by the research analyst, which is contravening any regulatory provisions.
• Inform SEBI about Research Analyst offering assured or guaranteed returns.

Don’ts

• Do not provide funds for investment to the Research Analyst.
• Don’t fall prey to luring advertisements or market rumors.
• Do not get attracted to limited period discount or other incentive, gifts, etc. offered by Research Analyst.
• Do not share login credential and password of your trading, demat or bank accounts with the Research Analyst.

Complaint Data for Month Ending – November 2025

SL	Source	Pending	Received	Resolved	Total Pending	Pending complaints more than 90 Days	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	0	0	0	0	0	0
	Grant Total