Investor Charter – Investment Advisor

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.

Details of business transacted by the Investment Adviser with respect to the investors

To enter into an agreement with the client providing all details including fee details, aspects of Conflict of interest disclosure and maintaining confidentiality of information.
To do a proper and unbiased risk – profiling and suitability assessment of the client.
To conduct audit annually.
To disclose the status of complaints on its website.
To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI Office details (i.e. Head office/ regional/ local Office) on its website.
To employ only qualified and certified employees.
To deal with clients only from official number
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Investment Advisers
Not to discriminate in terms of services provided, among clients opting for same/similar products/services offered by investment adviser.

Details of services provided to investors (No Indicative Timelines)

- To provide full disclosure about its business, affiliations, compensation in the agreement.
- To not access client’s accounts or holdings for offering advice.
- To disclose the risk profile to the client.
- To disclose any conflict of interest of the investment advisory activities with any other activities of the investment adviser.
- To disclose the extent of use of Artificial Intelligence tools in providing investment advisory services.

To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
To treat all advisory clients with honesty and integrity.
To make adequate disclosure to the investor of all material facts such as risks, obligations, costs, etc. relating to the products or securities advised by the adviser.

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