Disclosure

The particulars given in this Disclosure Document have been prepared in accordance with SEBI (Research Analyst) Regulations, 2014.

 

The purpose of the Document is to provide essential information about the Research Analyst Services in a manner to assist and enable the perspective client/client in making an informed decision for engaging research analyst before investing.

 

For the purpose of this Disclosure Document, Research analyst is Mr. Akshay Seth (“Research Analyst”)

 

A :Descriptions about “Research Analyst”

 

  • History, Present business, and Background

 

Research Analyst is registered with SEBI as Research Analyst with Registration No. INH100005729. The firm got its registration on March 07, 2018 and is only engaged in research analyst services.

 

The focus of Mr. Akshay Seth is to provide research recommendations to the clients. Research analyst aligns its interests with those of the client and seeks to provide the best suited analysis. There are no material conflict of interest at the time of public appearance, it would be communicated to the clients as and when arised.

 

 

  • Terms & conditions for research analyst services

 

Research Analyst will provide research analyst Services which shall be in the nature of recommendations, and may include buying and selling the securities for an for an agreed fee structure and which may be for a definite period of time and which may vary / change from  time to time,  entirely at the Client’s  risk.

 

  • Disciplinary history:

 

No action has been taken against the research analyst or Firm as an Research Analyst by any regulator.

 

  • Affiliations with other intermediaries

 

Research Analyst has no affiliation with any other intermediaries.

 

Clients are not bound to use the service of above associates in any way.

 

B: Disclosures with respect to receipt of any consideration by way of remuneration or compensation or in any other form whatsoever, received or receivable by Research Analyst or any of its associates or subsidiaries for anything in respect of the products or securities for which the recommendations are provided to the client:

 

Research Analyst or any of its associates or subsidiaries haven’t received any consideration by way of remuneration or compensation or in any other form whatsoever, for anything in respect of the products or securities for which the recommendations are provided to the client

 

 

C: Disclosures with respect to association of or any of its associates or subsidiaries or any of its associates or subsidiaries in any capacity with the subject company for which the recommendation’s are provided to the client:

 

Research Analyst or any of its associates or subsidiary is not associated in any capacity with the subject company for which the recommendations are provided to the client. Research analyst has not been engaged in market making activity for the subject company;

 

D: Disclosures with respect to Research Analyst’s own holding position in financial products / securities:

 

No trading of recommended stocks/script is done within a stipulated timeline by the research analyst and all the trades done by the research analyst are recorded for audit purposes.

 

 

E: Disclosure of all material facts relating to the key features of the products or securities, particularly, performance track record, warnings, disclaimers etc.

 

Clients are requested to go through the detailed key features, performance track record of the product, or security including warnings, disclaimers etc.  Before investing as and when provided by the Research Analyst. Such product materials may also be available to www.sebi.gov.in or www.nseindia.com or www.bseindia.com.

 

F: Drawing client’s attention to warnings, disclaimers in documents, advertising materials relating to investment products.

 

Research Analyst draws the client’s attention to the warnings, disclaimers in documents, advertising materials relating to an investment product/s which he is recommending to the client/s.

 

  1. Standard Risk Factors as perceived by Research Analyst:

 

  1. Investments in equities, derivatives and mutual funds are subject to market risks and there is no assurance or guarantee that the objective of the investment / products will be achieved.

  2. The past performance does not indicate its future performance. There is no assurance that past performances will be repeated. Investors are not being offered any guaranteed or indicative returns.

  3. As with any investment in securities, the NAV of the portfolio can go up or down depending upon the factors and forces affecting the capital market.

  4. The performance of the investments/products may be affected by changes in Government policies, general levels of interest rates and risks associated with trading volumes, liquidity and settlement systems in equity and debt markets.

  5. Investments in the products which the Clients have opted are subject to wide range of risks which inter alia also include but not limited to economic slowdown, volatility & illiquidity of the stocks, poor corporate performance, economic policies, changes of Government and its policies, acts of God, acts of war, civil disturbance, sovereign action and /or such other acts/ circumstance beyond the control of Research Analyst or any of its fellow subsidiaries.

  6. The names of the products/nature of investments do not in any manner indicate their prospects or returns. The performance in the equity products may be adversely affected by the performance of individual companies, changes in the market place and industry specific and macro-economic factors.

  7. Investments in debt instruments and other fixed income securities are subject to default risk, liquidity risk and interest rate risk. Interest rate risk results from changes in demand and supply for money and other macroeconomic factors and creates price changes in the value of the debt instruments. Consequently, the NAV of the portfolio may be subject to the fluctuation.

  8. Investments in debt instruments are subject to reinvestment risks as interest rates prevailing on interest amount or maturity due dates may differ from the original  coupon  of the bond, which might result in the proceeds being invested at a lower rate.

  9. The product may invest in non-publicly offered debt securities and unlisted equities. This may expose the investment/product to liquidity risks.

  10. Engaging in securities lending is subject to risks related to fluctuations in collateral value / settlement/ liquidity/counter party.

  11. The product may use derivatives instruments like index futures, stock futures and options contracts, warrants, convertible securities, swap agreements or any other derivative instruments. Usage of derivatives will expose portfolio to certain risk inherent to such derivatives.

  12. The use of derivative requires a high degree of skill, diligence and expertise. Thus, derivatives are highly leveraged instruments. Small price movement in the underlying security could have a large impact on their value. Other risks in using derivatives include he risk of mis-pricing or improper valuation of derivatives and the inability of derivatives to correlate perfectly with underlying assets, rates and indices.

  13. The NAV may be affected by changes in settlement periods and transfer procedures.

 

General Risks:

 

We trust that, before executing on the recommendations of the Research Analyst has provided you with all the information about the products, risk factors etc.  And you have gone through all the relevant information about the product being recommended and have sought requisite clarification about the same.

 

Research Analyst shall maintain complete confidentiality of all information provided by the client/s and shall not disclose any such information, without your prior consent except if such disclosure is required to be made in compliance with any applicable law or regulatory direction. Research analyst will obtain information pertaining to your orders/transactions/portfolio/funds availability/securities availability etc. from the clients to enable us to provide you with informed and appropriate recommendations.

 

Investors Services:

 

The detail of investor relation officer who shall attend to the investor queries and complaints is mentioned below:

 

  • Dispute Resolution
     

In case of any complain or query:
 

  1. Please contact our compliance officer Mr. Akshay Seth email id - akshay.kumar22222@gmail.com  and phone no +91-8826423141

  2. In case you are not satisfied with our response you can lodge your grievance with SEBI at http://scores.gov.in or you may also write to any of the offices of SEBI. For any queries, feedback or assistance, please contact SEBI office on toll free Helpline at 1800 22 7575/ 1800 266 7575.

 

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Research Analyst : INH000007270 | info@equityboxx.com | +91 8920161884