Investment Advisory Services

Investor Charter in respect of Investment Adviser (IA)

Vision:
Be the Investment Advisor of Choice for exceptional people.
Mission:
Deliver the highest quality investment advice that is always right by client, deliver depth of research and insight backing advice, make the right recommendations to clients based on their needs and risk appetite and enable accurate and timely reporting towards their financial wellness.

Details of business transacted by the Investment Adviser with respect to the investors

  • General Approach OR Advisory Philosophy
  • Portfolio Audit of & IPS
  • Orientation towards Simplicity
  • Oversight on Entire Portfolio including held away
  • Asset Allocation perspective
  • Managing Risk & Avoiding Accidents
  • Quality orientation and forensics
  • An eye on liquidity
  • Periodic Reviews

Client Onboarding:

  1. To enter into written agreement with the client with the agreement providing details of:
    • Fee details,
    • Conflict of interest disclosure and
    • Maintenance of confidentiality of information provided by the client.

Risk Profiling:

  1. To carry out a proper and unbiased risk – profiling for the client and to conduct a product suitability assessment of the client.

Compliance

  1. To obtain registration with Know Your Client Registration Agency (KRA) and Central Know Your Customer Registry (CKYC).
  2. To conduct regulatory audit(s) annually.a
  3. To disclose the status of complaints in its website.
  4. To disclose the details of the SEBI registration:
    5. Name – Entrust Family Office Investment Advisors Private Limited. Registration Type – Investment Advisers- Non Individual Registration Number – INA200004201 Validity of Registration – 16-02-2016 – Perpetual Address – 24, 4th Floor, Ist Cross, Magrath Road, Bengaluru 560025 Telephone – +91 080 4147 9777 Principal Officer :- Ms. Sreepriya N S Email – investorcommunications@entrust.co.in. Telephone – +91 080 4147 9777
    SEBI Local Office – Jeevan Mangal Building, Hayes Rd, off, Residency Rd, Shanthala Nagar, Ashok Nagar, Bengaluru 560025 Telephone – 91-080-22222262/ 22222264 Email – bangalore-lo@sebi.gov.in
  5. To employ only qualified and certified employees.
  6. To deal with clients only from official number.
  7. To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.

Details of services provided to investors (No Indicative Timelines)

  1. While onboarding of Clients
    • Sharing of agreement copy. A copy of the agreement executed between the client and the Investment Advisor (IA) to be provided to the client.
    • Completing KYC of clients.
  2. Disclosure to Clients
    • To provide full disclosure about its business, affiliations, compensation in the agreement.
    • To not access client’s accounts or holdings for offering advice.
    • 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.

Details of grievance redressal mechanism and how to access it

  1. At any time during the pendency of the investment advisory relationship between the client and the Investment Advisor (IA), in the event of any grievance or complaint, the client can lodge the grievance or compliant
    • Email: Investorcommunications@entrust.co.in.
    • Physical: 24, 4th Floor, 1st Cross, Magrath Road, Bangalore 560 025
    • The Investment Adviser 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.

Expectations from the investors (Responsibilities of investors)

Do’s

  1. Always deal with SEBI registered Investment Advisers.
  2. Ensure that the Investment Adviser 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&int mId=13)
  4. Pay only advisory fees to your Investment Adviser. 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 Investment Adviser 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 doubts with your Investment Adviser 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 any Investment Adviser.
  9. Be vigilant in your transactions.
  10. Approach the appropriate authorities for redressal of your doubts / grievances.
  11. Inform SEBI about Investment Advisers offering assured or guaranteed returns.

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 Investment Adviser
  3. Don’t fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don’t let greed overcome rational investment decisions.
  4. Don’t fall prey to luring advertisements or market rumors.
  5. Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.
  6. Don’t take decisions just because of repeated messages and calls by Investment Advisers.
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