a. I/We have read and understood the terms and conditions of Investment Advisory services provided by the Investment Adviser along with the fee structure and mechanism for charging and payment of fee
b. Based on our written request to the Investment Adviser, an opportunity was provided by the Investment Adviser to ask questions and interact with ‘person(s) associated with the investment advice.
a. We shall neither render any investment advice nor proceed further until the client has signed this agreement.
b. We shall not manage funds and securities on behalf of the client and that it shall only receive such sums of monies from the client as are necessary to discharge the client’s liability towards fees owed to the Investment Adviser
c. We do not provide any investment advice with assured returns or minimum returns or target return or percentage accuracy or service provision till achievement of target returns or any other nomenclature that gives the impression that the investment advice is risk-free and/or not associated to market risks and or that it can generate returns with any level of assurance.
a. EXISTING CLIENT-We are entitled to charge fees from client as per CODE OF CONDUCT FOR INVESTMENT ADVISER specified in schedule-3 of SEBI (INVESTMENT ADVISERS) REGULATIONS, 2013.
b. CLIENT ASSOCIATE ON OR AFTER 1 APRIL 2021-We are entitled to charge fees from client as per regulation 15A of SEBI (INVESTMENT ADVISERS) REGULATIONS, 2013 and SEBI circular no. SEBI/HO/IMD/DF1/CIR/P/2020/182 dated September 23, 2020.
c. Fees to be charged as per Schedule -A.
A. Investment Adviser shall comply with Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 and its amendments, rules, circulars and notifications.
B. Investment Adviser shall maintain and retain the self-eligibility criteria and qualification and certification of associates as specified under the Investment Adviser Regulations at all times.
C. Investment Adviser shall do risk profiling assessment of client and bifurcate or assigned him for particular risk group and investment and Asset Allocation will be as per assigned of Risk Group.
D. Investment Adviser shall provide researchreports(basis of analysis of investment product) to clients on potential and current investments.
E. Investment Adviser shall maintain records i.e. client-wise KYC, risk assessment, analysis reports of investment advice and suitability, terms and conditions document, related books of accounts and a register containing list of clients and all records along with dated investment advice and its rationale in compliance with the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.
F. Investment Adviser shall comply Code of Conduct as specified in the Third Schedule of the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.
G. Investment Adviser shall ensure self-audit as per the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.
H. Investment Adviser shall disclose risk associated and his conflict interest with investment product and ensure that advice provided to client,suits his Investment Objective/s and financial Situation and Client has reasonable understanding of Risks associated with the Product.
I. Investment Advisor does not serve any distribution and execution services directly or indirectly or through other family members.
J. Investment advisor does not accept the any kind power of attorney or any authorization letter for the implementation of investment advice on behalf of the client.
K. Investment adviser shall not be responsible for any loss or for any erosion in investment on account of fluctuation in investment value, or Non-performance or under-performance of the securities/funds or Any other adverse market conditions.
A. The Client agrees to provide information and supporting documents regarding income, investments, income tax situation, estate plans, and other pertinent matters as requested by Investment Advisor
B. The investment adviser shall not be required to verify any information obtained from the Client, his/her Advocate, or his/her accountant.
C. The Client is free always to accept or reject any recommendations from Investment Advisor, and the Client acknowledges that he/she has sole authority regarding the implementation.
D. The Client acknowledges that Investment Advisor cannot adequately perform services on the Client's behalf unless the Client performs such responsibilities.
E. The client shall be fully responsible for his/her computer, Mobile phone and other electronic system with mail in respect to dealing with Investment Advisor.
F. In this engagement, the principle of Caveat Emptor will be strictly enforced. The burden of loss on the shoulders of the client, if the client is giving any incorrect information or concealment of important information.
G. The client shall read and understand the all terms & Conditions, Disclosures and Disclaimers.
H. The Client shall sole responsible for his/her past, present and future investment decisions and engagements which are not covered in this agreement.
I. The Client shall agree to co-operate in comply of SEBI (Investment Adviser) Regulations, 2013 and other applicable regulations.
A. Investment advice would be provided only for such securities and investmentproduct as per services, which client has selected from schedule- A and suits respective client’s risk profile.
B. Financial plan or model or strategy shall be according to schedule B and after consent with client.
C. Fees and Tax on fees shall be according to schedule A
a) Voluntary / mandatory termination by the Investment Adviser.
b) Voluntary / mandatory termination by the client.
c) Suspension/Cancellation of registration of Investment Adviser by SEBI.
d) Any other action taken by other regulatory body/ Government authority.
Provided that, in case of a voluntary termination of the agreement by any party, the party seeking termination would be required to give a 30 days prior written notice.
A. I know and agree on the Risk profile, Risk Score and Risk Assessment report.
B. I know and agree the risk involved in the market.
C. I know and agree on that the risk nature of services.
D. I know and agree to comply of SEBI (Investment Adviser) Regulations, 2013 and otherapplicable provisions, Regulations and Act.
E. I have read and understood all the clauses of this agreement.
F. I will submit “6 months bank. statement and /or Income Tax Return (Last Financial years)as income proof along with loan statement and/or latest dmate statement for verification of information and/or to ascertain my financial situation” to Investment Adviser.
G. KYC document have been provided to Investment Adviser by myself.
H. I have signed this agreement myself physical or digitally.
I. I hereby appoint Nestra Capital to act as my investment adviser. The Liabilities and responsibilities of Nestra Capital will be limited to its service provided.
SCHEDULE – A
SERVICE AND FEES STRUCTURE: -
SCHEDULE – B
FINANCIAL PLAN OR MODEL OR STRATEGY :-
Future & Option (F&O)
# Note: If you are fall in Moderate or High-Risk Appetite, you can also opt Lower Risk Group Services.
This is our standard client agreement upon which we intend to rely, for your own benefit and protection you should read the term of this agreement, disclosures, disclaimer and term and conditions carefully before signing. As by signing you consent to the terms contained. I/we understand and consent to the above terms and I hereby authorize Nestra Capitalto my investment adviser. The Liabilities and responsibilities of Nestra Capitalwill be limited to its service provided. I/we read and understand all the above said documents. I/we agree that the client agreement will come into effect from the date of issue.
Address: Office No 626, 6th Floor, Block Dhan Trident, Scheme No 54, PU-4, Vijay Nagar, Indore - 452010 (M.P.)
Mobile- +91 8349090937
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SEBI Registration Number : INA000011149
Registration Type IA (Individual)