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SEBI Registered Investment Advisor

Investor Charter - IA

A. Vision and Mission Statements for investors

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

B. Details of business transacted by the Investment Adviser

  • To enter into an agreement with the client providing all details including fee details and conflict of interest disclosures.
  • To do a proper and unbiased risk-profiling and suitability assessment.
  • To conduct audit annually.
  • To disclose the status of complaints on its website.
  • To employ only qualified and certified employees.
  • To maintain records of interactions with all clients.

C. Details of services provided to investors

Onboarding of Clients

  • Sharing of agreement copy
  • Completing KYC of clients

Disclosure to Clients

  • Provide full disclosure about business, affiliations, and compensation.
  • Do not access client's accounts or holdings for offering advice.
  • Disclose the risk profile to the client.
  • Disclose conflict of interest and use of AI tools.

D. Grievance Redressal Mechanism

1. Direct Mode: Approach the Investment Adviser who shall redress the grievance within 21 days.

2. SEBI SCORES 2.0: Centralized grievance redressal system (https://scores.sebi.gov.in).

3. SMARTODR Platform: Online conciliation or arbitration platform.

E. Rights of investors

  • Right to Privacy and Confidentiality
  • Right to Transparent Practices
  • Right to Fair and Equitable Treatment
  • Right to Adequate Information
  • Right to be Heard and Satisfactory Grievance Redressal
  • Right to Suitability of the Financial Products

F. Responsibilities of investors

Do's

  • Always deal with SEBI registered Investment Advisers.
  • Ensure the IA has a valid registration certificate.
  • Pay only advisory fees through banking channels.
  • Always ask for your risk profiling before accepting advice.
  • Insist on terms and conditions in writing.

Don'ts

  • Don’t fall for stock tips under the pretext of investment advice.
  • Do not provide funds for investment to the Investment Adviser.
  • Don’t fall for the promise of exorbitantly high assured returns.
  • Do not share login credentials for your trading or bank accounts.