Merchant Banking

Kroll Advisory Private Limited is a SEBI registered Category 1 merchant banker, enabling the company to provide fair opinions and a wider range of valuation services to listed companies.

Kroll Advisory Private Limited, formerly Duff & Phelps India Private limited (“KAPL”/ “the Company”)) is registered as a Category I Merchant Banker with the Securities & Exchange Board of India/SEBI. As a Merchant Banker, KAPL currently provides valuation and valuation-related advisory services in areas such as: business appraisal and consulting including valuation and analysis of business (equity / securities); financial instruments; and tangible and intangible assets.

Investor Charter

Kroll Advisory Private Limited, formerly Duff & Phelps India Private limited (“KAPL”/ “the Company”)) is registered as a Category I Merchant Banker with the Securities & Exchange Board of India/SEBI. As a Merchant Banker, KAPL currently provides valuation and valuation-related advisory services in areas such as: business appraisal and consulting including valuation and analysis of business (equity / securities); financial instruments; and tangible and intangible assets, and is not offering the types of services specified under point 3 (3.1-3.8) of the SEBI’s circular for Publishing Investor Charter & Disclosure of Investor Complaints by Merchant Bankers dated 23 November 2021 (https://www.sebi.gov.in/legal/circulars/nov-2021/publishing-investor-charter-and-disclosure-of-complaints-by-merchant-bankers-on-their-websites_54147.html).
To read the investor charter, click here

Investor Grievances

Investor Grievances & other Contact Details
Compliance Officer
Kroll Advisory Private Limited
Ms. Anu Fernandes
Phone: 022 6294 1286, +91 99678 88124

ComplianceIndia@Kroll.com – for compliance officer contacts.

DL.ICIndia@kroll.com – for investor complaints

DL.RCIndia@kroll.com – 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 1 November, 2024.

Kroll is headquartered in New York with offices around the world.

One World Trade Center

285 Fulton Street, 31st Floor

New York NY 10007

Global

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