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Code Of Conduct For Investment Adviser

Code of Conduct (As prescribed under Regulation 15(9) of IA Regulations)

  • Act honestly, fairly, and in the best interest of the client.
  • Provide unbiased and independent advice.
  • Conduct all advisory activities with due skill, care, and professional judgment.
  • Ensure suitability of investment advice based on risk profiling.
  • An investment adviser shall have and employ effectively appropriate resources and procedures which are needed for the efficient performance of its business activities.
  • An investment adviser shall seek from its clients, information about their financial situation, investment experience and investment objectives relevant to the services to be provided and maintain confidentiality of such information.
  • An investment adviser shall make adequate disclosures of relevant material information while dealing with its clients.
  • Identify and disclose all conflicts of interest.
  • Maintain a 100% fee-only advisory model with zero commissions.
  • An investment adviser shall try to avoid conflicts of interest as far as possible and when they cannot be avoided, it shall ensure that appropriate disclosures are made to the clients and that the clients are fairly treated.
  • Identify and disclose all conflicts of interest.  
  • Maintain a 100% fee-only advisory model with zero commissions. 
  • Undertake all activities in compliance with applicable laws.
  • Maintain proper documentation and audit trails.
  • The senior management of a body corporate which is registered as investment adviser shall bear primary responsibility for ensuring the maintenance of appropriate standards of conduct and adherence to proper procedures by the body corporate.
  • Protect client data and prevent unauthorized access. 
  • Do not share client information except as required by law. 
  • Maintain high standards of knowledge, ethics and behaviour. 
  • Follow SEBI regulations, circulars and guidelines without exception.