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
31 July 2025
30 July 2025
12 June 2025
31 May 2025
30 April 2025
31 March 2025
28 February 2025
31 January 2025
02 January 2025
01 October 2024
30 November 2024
30 October 2024
14 October 2024
01 October 2024
30 August 2024
05 August 2024
28 June 2024
31 May 2024
02 May 2024
02 April 2024
29 February 2024
06 February 2024
02 January 2024
04 December 2023
17 November 2023
29 September 2023
31 August 2023
31 July 2023
03 July 2023
01 June 2023
04 May 2023
09 June 2022
16 May 2022
PMS
31 July 2025
30 June 2025
31 May 2025
30 April 2025
31 March 2025
11 March 2025
28 February 2025
10 February 2025
31 January 2025
22 January 2025
02 January 2025
30 November 2024
16 October 2024
30 October 2024
01 October 2024
30 August 2024
05 August 2024
28 June 2024
31 May 2024
02 May 2024
01 April 2024
14 September 2023
12 April 2023
Co-PMS
31 July 2025
30 June 2025
31 May 2025
30 April 2025
31 March 2025
28 February 2025
31 January 2025
02 January 2025
30 November 2024
30 October 2024
01 October 2024
30 August 2024
05 August 2024
31 May 2024
02 May 2024
RERA
14 October 2024
15 April 2024
20 October 2023
Investors
22 August 2025
22 August 2025
22 August 2025
12 June 2025
21 August 2024
21 August 2024
19 August 2024
19 August 2024
Compliance Audit Report - FY 2022-2023
30 September 2023
Compliance Audit Report - FY 2021-2022
30 September 2022
PMS Fee Tool Simulation
30 September 2024
AGM Notice - WFIA
19 August 2024
Investor Complaints - Co-PMS - March - 2024
02 April 2024
Investor Complaints - PMS - March - 2024
02 April 2024
Investor Complaints - Co-PMS - February - 2024
29 February 2024
Investor Complaints - PMS - February - 2024
29 February 2024
Investor Complaints - Co-PMS - January - 2024
06 February 2024
Investor Complaints - PMS - January - 2024
06 February 2024
Investor Complaints - Co-PMS - December - 2023
02 January 2024
Investor Complaints - PMS - December - 2023
02 January 2024
Investor Complaints - Co-PMS - November 2023
04 December 2023
Investor Complaints - PMS - November 2023
04 December 2023
Investor Complaints - Co-PMS - October 2023
21 November 2023
Investor Complaints - PMS - October 2023
02 November 2023
Investor Complaints - PMS - September 2023
29 September 2023
Investor Complaints - PMS - August 2023
31 August 2023
AGM Notice - WFIA
10 August 2023
Investor Complaints - PMS - July 2023
31 July 2023
Investor Complaints - PMS - June 2023
03 July 2023
Investor Complaints - PMS - May 2023
01 June 2023
Investor Complaints - PMS - April 2023
04 May 2023
Investor Complaints - PMS
03 April 2023
Investor Complaints - March 2023
03 April 2023
EOGM Notice
28 March 2023
Investor Complaints - February 2023
01 March 2023
Investor Complaints - January 2023
01 February 2023
Investor Complaints - December 2022
23 December 2022
Investor Complaints - November 2022
29 November 2022
Investor Complaints - October 2022
31 October 2022
Investor Complaints - September 2022
03 October 2022
Investor Complaints - August 2022
01 September 2022
Investor Complaints - July 2022
02 August 2022
Investor Complaints - June 2022
29 June 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 22 6621 0700 customer.care@waterfieldadvisors.com | 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 22 6621 0700 customer.care@waterfieldadvisors.com | 10:00 am to 6:00 pm |
| Compliance Officer | Ms. Shilpa Dadhich – Director, Compliance, Legal & 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 investor.grievance@waterfieldadvisors.com | 10:00 am to 6:00 pm |
| Principal Officer | Soumya Rajan – Director | 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 principal.officer@waterfieldadvisors.com | 10:00 am to 6:00 pm |
CONTACT FOR INVESTOR GRIEVANCE
investor.grievance@waterfieldadvisors.comIf 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
- Name, PAN, Address, Mobile Number, E-mail ID
- 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
