The Equicom Financial Research has achieved the mark of a SEBI registered Investment Adviser with a registration number INA000001639 under the act of 2013.
The company has been registered in SEBI as it has been following the norms set for an investment adviser. TheEquicom comply with all the rules and regulations of state and central Govt. laws while delivering its products and services. Following the rules of SEBI we collect few details of the client through:
KYC and Risk Profile Form.
General Rules for an Investment Adviser:
1) An investment adviser shall act in a fiduciary capacity towards its clients and shall disclose all conflicts of interests as and when they arise.
2) An investment adviser shall not divulge any confidential information about its client, which has come to its knowledge, without taking prior permission of its clients, except where such disclosures are required to be made in compliance with any law for the time being in force.
3) An investment advisor shall follow Know Your Client procedure a s specified by the Board from time to time.
4) An investment adviser shall not act on its own account, knowingly to sell Securities or investment products to or purchase securities or investment product from a client.
5) Investment adviser shall ensure that,- it obtains from the client, such information as is necessary for the purpose of giving investment advice, including the following:- (i)age;
(ii)Investment objectives including time for which they wish to stay invested, the Purposes of the investment;
iii) Income details;
(iv)Existing investments/ assets;
(v) Risk appetite/ tolerance;
(vi) liability/borrowing details.
Above mentioned points and other regulations can be found on the following link http://www.sebi.gov.in/cms/ sebi_data/attachdocs/1358779330956.pdf. We comply all the points mentioned in the circular through KYC and Risk profile form.
In any case you develop any grievances with TheEquicom Financials services or any of its representatives we would kindly request you to please discuss the matter with our compliance office (0731-6058815) mend for solving client’s complaints and grievances before you go to SEBI for help, we will try to do our best to solve all your problems and queries.