B. Details of business transacted by the Investment Advisor 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 an 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 on 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