Investor Charter in respect of Investment Adviser (IA)
As per SEBI Circular No. SEBI/HO/IMD/IMD-II CIS/P/CIR/2021/0686 | Dated: December 13, 2021
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 with respect to the investors
To enter into an agreement with the client providing all details including fee details, aspect 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 obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
To conduct audit annually.
To disclose the status of complaints in its website.
To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI regional/local Office details in 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.
C. Details of services provided to investors (No Indicative Timelines)
Onboarding of Clients
1. Sharing of agreement copy
2. Completing KYC of clients
Disclosure to Clients
1. To provide full disclosure about its business, affiliations, compensation in the agreement.2. To not access client’s accounts or holdings for offering advice.3. To disclose the risk profile to the client.
To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
