WILLIAM O’NEIL INDIA PRIVATE LIMITED

SEBI Registered Investment Advisers Registration No. INA200005125

Grievance Redressal Process

We 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, especially since we follow the Direct-to-Investor model. 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.

The Grievance Redressal policy follows the following principles:

• Investors will be treated fairly at all times.
• Complaints raised by Investors will be dealt with courtesy and in a timely manner.
• Queries and Complaints will be treated efficiently and fairly.

The Investment advisor and employees work in good faith and without prejudice, towards the interests of the Investors.

The Investment Advisor has a dedicated Client Servicing Team which is responsible for timely and prompt communication with our clients, while having an open attitude towards service recovery, and providing alternate solutions to investors, thus ensuring healthy relationships with our clients. The Client Servicing Team is headed by Mr. Harish C (harish.c@williamoneilindia.com).

Grievance Redressal Mechanism

Client’s queries / complaints may arise due to lack of understanding, or a deficiency of service experienced by clients. Deficiency of service may include lack of explanation, clarifications, understanding which escalates into shortfalls in the expected delivery standards, either due to inadequacy of facilities available or through the attitude of staff towards client.

Please contact our compliance officer Mr. Varun Sai Ram S R, email id – compliance@williamoneilindia.com and phone no.: 080-67453806.

You may also approach CEO/ partner/ IA- Mr. Anupam Singhi, Email ID: anupam.singhi@williamoneilindia.com and Phone No.- 080-67453804.

In case you are not satisfied with our response you can lodge your grievance with SEBI at http://scores.sebi.gov.in or you may also write to any of the offices of SEBI. For any queries, feedback or assistance, please contact SEBI office on Toll Free Helpline at 1800 22 7575/ 1800 266 7575. SCORES may be accessed through the SCORES mobile application as well, same can be downloaded from the below link:
https://play.google.com/store/apps/details?id=com.ionicframework.sebi236330

ODR Portal could also be accessed, if unsatisfied with the response. Your attention is drawn to the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”. A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established. ODR Portal can be accessed via the following link – https://smartodr.in