Merchant Banking

Kroll Advisory Private Limited formerly known as Duff & Phelps India Private limited (“KAPL” or the “Company”) is regulated by the Securities and Exchange Board of India (“SEBI”) as a Category 1 merchant banker.

KAPL also provides services that are not overseen by SEBI and fall outside of SEBI’s purview including but not limited to certain valuation and valuation advisory services and restructuring advisory services (collectively the “Excluded Activities”).

Investors and other stakeholders are hereby expressly informed that none of the investor protection mechanisms, dispute resolution frameworks, or grievance redressal mechanisms provided by SEBI shall be available in respect of any grievance, claim, or dispute arising out of or in connection with the Excluded Activities.

Accordingly, SEBI shall neither entertain nor adjudicate any grievance or dispute relating to such activities.

Pursuant to SEBI’s circular for Publishing Investor Charter & Disclosure of Investor Complaints by Merchant Bankers dated November 23, 2021, along with subsequent circulars issued thereafter, the following Investor Charters are required to be published on the website of the Company, in accordance with the categories prescribed by SEBI:

1. Investor Charter - Merchant Banking
2. Investor Charter - Debt Market
3. Investor Charter - Public issue of InvITs and REITs
4. Investor Charter - Private Placement of Municipal Debt Securities
5. Investor Charter - Private Placement of units by InvITs

Kroll Advisory Private Limited does not provide any of the services outlined in the aforementioned SEBI Circular.

Track Record of Public Issues managed by Merchant Banker in the last three financial years - Kroll Advisory Private Limited has not handled any Public Issues during the last three financial years.

• Investor Grievances
  Contact Details for Investor Grievances
  Compliance Officer -
  Kroll Advisory Private Limited
  Anu Fernandes
  Phone: 022 6294 1286, +91 99678 88124

  [email protected] – for compliance officer contacts.

  [email protected] – for investor complaints

  [email protected] – for regulatory communications

  If not satisfied, the investor can also seek redressal of complaint through SCORES.

  For SCORES Portal, click https://www.scores.gov.in/scores/complaintRegister.html 

• Status of Investors Complaints / Grievances And Redressal

SN	Received from	Pending as at the end of last month	Received during the particular month	Resolved during the particular month*	Total Pending during the particular month #	Pending complaints > 1 month	Average Resolution timeAl (in days)
1.	Directly from investors	NIL	NIL	NIL	NIL	NIL	NIL
2.	SEBI (SCORES)	NIL	NIL	NIL	NIL	NIL	NIL
3.	Stock Exchanges (if applicable) – Not applicable	N.A.	N.A.	N.A.	N.A.	N.A.	N.A.
4.	Other sources (if any)	NIL	NIL	NIL	NIL	NIL	NIL
5.	Grand total

Trend of disposal of complaints

SN	Month	Carried forward from previous month	Received during the particular month	Resolved during the particular month *	Pending at the end of the particular month #
NIL

Updated as on February 1, 2026.