Regulatory Information
At Waterfield Advisors, we adhere to the highest standards of regulatory compliance to ensure the protection of our clients’ interests with the utmost integrity. As a regulated entity, we comply with all applicable laws, rules, and guidelines set forth by the relevant regulatory authorities.This page provides essential details regarding our regulatory obligations, licenses, and governing bodies.
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Grievance Redressal
| Designation | Contact Person name | Address | Contact No. and Email ID | Working hours when complainant can call |
|---|---|---|---|---|
| Customer Care | Roohie Shekasan - Director - Client Services | 142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021 Click here to access the map | +91 22 6621 0700 [email protected] | 10:00 am to 6:00 pm |
| Head of Customer Care | Roohie Shekasan - Director - Client Services | 142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021 Click here to access the map | +91 22 6621 0700 [email protected] | 10:00 am to 6:00 pm |
| Compliance Officer | Ms. Darshana Bhutak – Manager – Compliance, Legal and Secretarial. | 7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018 Click here to access the map | +91-22-66210706 [email protected] | 10:00 am to 6:00 pm |
| Principal Officer | Mr. Subodh Kaistha - Chief Business Officer – Origination & Client Coverage and Wealth Structuring | 7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018 Click here to access the map | +91-22-66210700 [email protected] | 10:00 am to 6:00 pm |
| Nodal Officer | Himanshu Maheshwari - Head of Operations and Technology | 142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021 Click here to access the map | +91-22-66210700 [email protected] | 10:00 am to 6:00 pm |
CONTACT FOR INVESTOR GRIEVANCE
[email protected]If you are not satisfied with the resolution provided, you can lodge your complaint online at https://scores.sebi.gov.in
Filing complaint on SCORES – Easy & quick
- Register on SCORES portal
- Mandatory details for filing complaints on SCORES
- Name, PAN, Address, Mobile Number, E-mail ID
- Benefits:
- Effective Communication
- Speedy redressal of the grievances
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. If you are not satisfied with the resolution provided, you can access ODR Portal at https://smartodr.in/
INVESTOR GRIEVANCES
To read our investor grievance policy & guidelines, click here
EXTERNAL GRIEVANCES
To read our external grievance policy & guidelines, click here
ACCESSIBILITY FEEDBACK
For accessibility feedback, click here
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