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Offices
Mumbai

142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021

7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Noida

18B106, 18th Floor, Berger Delhi One, Sector 16B, Noida - 201301

SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023

Bengaluru

Level 5, No. 501, Prestige Garnet, 36, Ulsoor Road, Bengaluru – 560042

SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025

Chennai

Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034

SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002

Goa

Unit No. 701, A Wing, 7th floor, Sunteck Kanaka Corporate Park, Patto, Panjim, Goa - 403001

SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa

Pune

1-111, Raheja Woods 8, Central Avenue, Kalyani Nagar, Pune, MH 411006

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Kolkata

916, PS Arcadia, Level 9, 4A, Camac Street, Kolkata 700016

SEBI Office: L&T Chambers, 3rd Floor, 16 Camac Street, Kolkata - 700017, West Bengal

Gujarat

GA-04, Block15, Ground Floor, Pragya Accelerator, Rd 1C, Gift City, Gandhinagar - 382355, Gujarat

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home › Regulatory information

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.

Investment Advisory
Compliance Audit Report - FY 2023-2024

1 Oct 2024

Investor - Complaints - IA - November - 2024

30 Nov 2024

Investor - Complaints - IA - October - 2024

30 Oct 2024

Status of Annual Compliance Audit

14 Oct 2024

Investor - Complaints - IA - September - 2024

1 Oct 2024

Investor Complaints - August 2024

30 Aug 2024

Investor Complaints - July 2024

5 Aug 2024

Investor Complaints - June 2024

28 Jun 2024

Investor Complaints - May 2024

31 May 2024

Investor Complaints - April 2024

2 May 2024

Investor Complaints - March 2024

2 Apr 2024

Investor Complaints - February 2024

29 Feb 2024

Investor Complaints - January 2024

6 Feb 2024

Investor Complaints - December 2023

2 Jan 2024

Investor Complaints - November 2023

4 Dec 2023

Investor Complaints - October 2023

17 Nov 2023

Investor Complaints - September 2023

29 Sep 2023

Investor Complaints - August 2023

31 Aug 2023

Investor Complaints - July 2023

31 Jul 2023

Investor Complaints - June 2023

3 Jul 2023

Investor Complaints - May 2023

1 Jun 2023

Investor Complaints - April 2023

4 May 2023

Submission of Annual Compliance Audit Report

9 Jun 2022

Investor Charter

16 May 2022

PMS
Investor Complaints - PMS - November - 2024

30 Nov 2024

PMS Fee Tool Simulation

16 Oct 2024

Investor Complaints - PMS - October - 2024

30 Oct 2024

Investor Complaints - PMS - September - 2024

1 Oct 2024

Investor Complaints - PMS - August - 2024

30 Aug 2024

Investor Complaints - PMS - July - 2024

5 Aug 2024

Investor Complaints - PMS - June - 2024

28 Jun 2024

Investor Complaints - PMS - May - 2024

31 May 2024

Investor Complaints - PMS - April - 2024

2 May 2024

PMS Disclosure Document | April 2024

1 Apr 2024

FAQs for PMS

14 Sep 2023

Investor Charter - PMS

12 Apr 2023

Co-PMS
Investor Complaints - Co-PMS - November - 2024

30 Nov 2024

Investor Complaints - Co-PMS - October - 2024

30 Oct 2024

Investor Complaints - Co-PMS - September - 2024

1 Oct 2024

Investor Complaints - Co-PMS - August - 2024

30 Aug 2024

Investor Complaints - Co-PMS - July - 2024

5 Aug 2024

Investor Complaints - Co-PMS - May - 2024

31 May 2024

Investor Complaints - Co-PMS - April - 2024

2 May 2024

RERA
MahaRERA Update_September 2024

14 Oct 2024

MahaRera Update | April 2024

15 Apr 2024

MahaRERA Update

20 Oct 2023

Investors
MGT - 7: Waterfield Advisors Private Limited

21 Aug 2024

MGT - 7: Waterfield Fund Managers Private Limited

21 Aug 2024

MGT - 7: Waterfield Financial and Investment Advisors Limited

21 Aug 2024

AGM Notice - WFM

19 Aug 2024

AGM Notice - WFA

19 Aug 2024

ARCHIVES
Compliance Audit Report - FY 2022-2023

30 Sep 2023

Compliance Audit Report - FY 2021-2022

30 Sep 2022

PMS Fee Tool Simulation

30 Sep 2024

AGM Notice - WFIA

19 Aug 2024

Investor Complaints - Co-PMS - March - 2024

2 Apr 2024

Investor Complaints - PMS - March - 2024

2 Apr 2024

Investor Complaints - Co-PMS - February - 2024

29 Feb 2024

Investor Complaints - PMS - February - 2024

29 Feb 2024

Investor Complaints - Co-PMS - January - 2024

6 Feb 2024

Investor Complaints - PMS - January - 2024

6 Feb 2024

Investor Complaints - Co-PMS - December - 2023

2 Jan 2024

Investor Complaints - PMS - December - 2023

2 Jan 2024

Investor Complaints - Co-PMS - November 2023

4 Dec 2023

Investor Complaints - PMS - November 2023

4 Dec 2023

Investor Complaints - Co-PMS - October 2023

21 Nov 2023

Investor Complaints - PMS - October 2023

2 Nov 2023

Investor Complaints - PMS - September 2023

29 Sep 2023

Investor Complaints - PMS - August 2023

31 Aug 2023

AGM Notice - WFIA

10 Aug 2023

Investor Complaints - PMS - July 2023

31 Jul 2023

Investor Complaints - PMS - June 2023

3 Jul 2023

Investor Complaints - PMS - May 2023

1 Jun 2023

Investor Complaints - PMS - April 2023

4 May 2023

Investor Complaints - PMS

3 Apr 2023

Investor Complaints - March 2023

3 Apr 2023

EOGM Notice

28 Mar 2023

Investor Complaints - February 2023

1 Mar 2023

Investor Complaints - January 2023

1 Feb 2023

Investor Complaints - December 2022

23 Dec 2022

Investor Complaints - November 2022

29 Nov 2022

Investor Complaints - October 2022

31 Oct 2022

Investor Complaints - September 2022

3 Oct 2022

Investor Complaints - August 2022

1 Sep 2022

Investor Complaints - July 2022

2 Aug 2022

Investor Complaints - June 2022

29 Jun 2022

Investor Complaints - May 2022

30 May 2022

Investor Complaints - April 2022

16 May 2022

EOGM Notice

16 May 2022

Investor Complaints - March 2022

16 May 2022

Investor Complaints - February 2022

16 May 2022

Investor Complaints - January 2022

16 May 2022

Investor Complaints - December 2021

16 May 2022

EOGM Notice - WFA

16 May 2022

EOGM Notice - WFIA

16 May 2022

EOGM Notice - WFM

16 May 2022

Grievance Redressal
Designation Contact Person name Address Contact No. and Email ID Working hours
when complainant can call
Customer Care Kamal Panag - Executive Director, Head - Client Services and Quality Assurance 7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018
Click here to access the map 		+91 9811 324713 [email protected] 10:00 am to 6:00 pm
Head of Customer Care Kamal Panag - Executive Director, Head - Client Services and Quality Assurance 7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018
Click here to access the map 		+91 9811 324713 [email protected] 10:00 am to 6:00 pm
Compliance Officer Kartik Kini – Chief Operating Officer, Brand Custodian and Chief of Staff 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
CEO Soumya Rajan – Managing Director and CEO 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
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/

Contact Us

Your legacy awaits



Topic of Enquiry*:




How did you discover Waterfield?









arrow arrow
*Kindly note that this form does not operate as a job portal, and the HR Team will not receive information regarding your candidature
Follow Us
linkedin youtube twitter instagram
Follow Us
linkedin youtube twitter instagram
Offices
Mumbai

142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021

7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Noida

18B106, 18th Floor, Berger Delhi One, Sector 16B, Noida - 201301

SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023

Bengaluru

Level 5, No. 501, Prestige Garnet, 36, Ulsoor Road, Bengaluru – 560042

SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025

Chennai

Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034

SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002

Goa

Unit No. 701, A Wing, 7th floor, Sunteck Kanaka Corporate Park, Patto, Panjim, Goa - 403001

SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa

Pune

1-111, Raheja Woods 8, Central Avenue, Kalyani Nagar, Pune, MH 411006

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Kolkata

916, PS Arcadia, Level 9, 4A, Camac Street, Kolkata 700016

SEBI Office: L&T Chambers, 3rd Floor, 16 Camac Street, Kolkata - 700017, West Bengal

Gujarat

GA-04, Block15, Ground Floor, Pragya Accelerator, Rd 1C, Gift City, Gandhinagar - 382355, Gujarat