INVESTOR CHARTER

Right Alpha Capital Private Limited

 

 

1. Vision and Mission Statements for Clients

 

1. Vision

Invest with knowledge & safety.  

2. Mission

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

 

2. Details of business transacted by the Company with respect to the Clients

 

1. 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.
2. To do a proper and unbiased risk – profiling and suitability assessment of the client.
3. To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC). 
4. To conduct audit annually.
5. To disclose the status of complaints in its website.
6. 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.
7. To employ only qualified and certified employees.
8. To deal with clients only from official number
9. To  maintain  records  of  interactions,  with  all  clients  including  prospective clients (prior to onboarding), where any conversation related to advice has taken place.

 

3. Details of services provided to Clients (No Indicative Timelines)

1. Onboarding of Clients

1. Sharing of agreement copy
2. Completing KYC of clients

 

2. 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.

 

3. To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.

 

4. Details of grievance redressal mechanism and how to access it

 

1. In  case  of  any  grievance  /  complaint,  an  investor  should  approach  the concerned  Investment  Adviser  and  shall  ensure  that  the  grievance  is resolved within 30 days. 
2. If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s 'SCORES' portal which is a centralized web based   complaints   redressal   system.   SEBI   takes   up   the   complaints registered   via   SCORES   with   the   concerned   intermediary   for   timely redressal. SCORES facilitates tracking the status of the complaint.
3. With regard to physical complaints, investors may send their complaints to: Office  of  Investor  Assistance  and  Education,  Securities  and  Exchange Board  of  India,  SEBI  Bhavan,  Plot  No.  C4-A,  ‘G’  Block,  Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051.

 

5. Expectations from the investors (Responsibilities of Clients)

 

1. Do’s

1. Always deal with SEBI registered Investment Advisers.
2. Ensure that the Company has a valid registration certificate.
3. Check for SEBI registration number.

Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intm Id=13)

4. Pay only advisory fees to the Company. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.
5. Always ask for your risk profiling before accepting investment advice. Insist that the Company provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.
6. Ask all relevant questions and clear your doubt with the Company before acting on advice.
7. Assess the risk–return profile of the investment as well as the liquidity and safety aspects before making investments. 
8. Insist  on  getting  the  terms  and  conditions  in  writing  duly  signed  and stamped.   Read   these   terms   and   conditions   carefully   particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with the Company.
9. Be vigilant in your transactions.
10. Approach  the  appropriate  authorities  for  redressal  of  your  doubts  /  grievances.
11. Inform SEBI about the Company if it ever offers assured or guaranteed returns.

 

2. Don’ts

1. Don’t fall for stock tips offered under the pretext of investment advice.
2. Do not provide funds for investment to the Company.
3. Don’t fall for the promise of indicative or exorbitant or assured returns by  the Company.   Don’t   let   greed   overcome   rational  
4. investment decisions.
5. Don’t fall prey to luring advertisements or market rumors.
6. Avoid doing transactions only on the basis of phone calls or messages the Company or its representatives.
7. Don’t take decisions just because of repeated messages and calls by the Company.
8. Do not fall prey to limited period discount or other incentive, gifts, etc. offered by the Company. 
9. Don’t rush into making investments that do not match your risk taking appetite and investment goals.
10. Do not share login credential and password of your trading and demat accounts with the Company.

 

 

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