Disclosures to clients
To our Clients and Prospective Clients of our Securities Businesses:
- We disclose all material information about our self including our business, disciplinary history, the terms and conditions on which we offer advisory services, affiliations with other intermediaries and such other information as is necessary to take an informed decision, on whether or not to avail our services.
- We disclose to all our clients, any consideration by way of remuneration or compensation or in any other form whatsoever, received or receivable for any services in respect of the products or securities for which the investment advice is provided to the client.
- We do not recommend the services of a stock broker or other intermediary to a client, disclose any consideration by way of remuneration or compensation or in any other form whatsoever
- While making an investment advice, We make adequate disclosures to the client of all material facts relating to the key features of the products or securities, particularly, performance track record.
- We draw the client’s attention to the warnings, disclaimers in documents, advertising materials relating to an investment product which it is recommending to the client.