We shall act in a fiduciary capacity towards you, always and shall disclose all conflicts of interests as and when they arise.

We shall not receive any consideration by way of remuneration or compensation or in any other form from any person other than the client being advised, in respect of the underlying products or securities for which advice is provided.

We shall maintain an arms-length relationship between our activities as an investment adviser and other activities.

We, in case of engaging in activities other than investment advisory services, as may be permitted by the Regulatory mandates, shall ensure that the investment advisory services are clearly segregated from all our other activities, in the manner as prescribed under the IA Regulations.

We shall ensure that in case of any conflict of interest of the investment advisory activities with other activities, such conflict of interest shall be disclosed to you.

We shall not divulge any confidential information about you, which has come to our knowledge, without taking your prior permission, except where such disclosures are required to be made in compliance with any law for the time being in force.

You hereby agree, acknowledge, consent and permit to the processing and use of your confidential information including personal data and financial data, by us including our third-party vendors, as far as it is necessary for the performance of our functions, obligations, and responsibilities, towards providing services, herein.

We shall not divulge any confidential information about you, which has come to our knowledge, without taking your prior permission, except where such disclosures are required to be made in compliance with any law for the time being in force.

You hereby agree, acknowledge, consent and permit to the processing and use of your confidential information including personal data and financial data, by us including our third-party vendors, as far as it is necessary for the performance of our functions, obligations, and responsibilities, towards providing services, herein.

We, the investment advisor shall follow Know Your Client (‘KYC’) procedure as specified by the Board from time to time.

We undertake to abide by Code of Conduct as specified in Third Schedule of the IA Regulations – contained as in Schedule.

We shall not act on our own account, knowingly to sell securities or investment products to or purchase securities or investment product from a client.

We shall take prior approval from the Board, in case of change in control of our entity.

We shall furnish to the Board, information and reports as may be specified by the Board from time to time.

We shall ensure compliance with the certification and qualification requirements as specified u/r 7 of IA Regulations, at all times.

These include the qualification and certification requirement for an individual investment adviser or principal officer of a non-individual investment adviser registered under the IA Regulations, as the case may be, and the persons associated with investment advice.

We shall ensure compliance with the Regulatory mandates.

We shall ensure compliance with the eligibility criteria as specified under the IA Regulations at all times.

We follow a set process of risk profiling, risk assessment and suitability analysis, as mandated u/r 16 and 17 of IA Regulations and other regulatory mandates, including your risk capacity and risk aversion.

We shall provide reports to my / our client on potential and current investments.

We shall maintain the records, as specified u/r 19(1) of IA Regulations and related books of accounts including client accounts and data.

We shall conduct yearly audit u/r 19(3) of IA Regulations, in respect of compliance with the IA Regulations.