Declaration
DECLARATION BY REGISTERED INVESTMENT ADVISER
Issued by: SR Alpha Investment Advisor | Brand: The Trading Mitra™
SEBI RIA No.: INA000000001 | Registration Type: Individual | Validity: Perpetual
1. 📄 No Advice or Fees Without Client Agreement
We declare that no investment advice is offered and no fee is collected from any client unless a formal written agreement, as mandated by SEBI, has been duly signed.
2. 💼 No Management of Client Funds or Securities
We do not handle, manage, or have access to client funds or securities under any circumstances. Our income is derived exclusively from advisory fees, not from trading, implementation, or commissions.
3. 🚫 No Assured or Guaranteed Returns
We do not guarantee or imply any assured/minimum/targeted returns under our advisory services.
All investment products are subject to market risk and returns are variable.
4. ⚖️ Arms-Length Relationship With Other Activities
We maintain an arms-length separation between advisory and any other business activities (if applicable), ensuring that no conflict of interest compromises our fiduciary responsibility.
5. ❌ No Power of Attorney or Authorizations Sought
We do not seek or accept any power of attorney (PoA), trade authorizations, or transaction rights from clients for executing investment advice.
All implementation decisions remain solely with the client.
6. ⚠️ Full Disclosure of Conflicts of Interest
We declare that we will promptly disclose any conflict of interest—actual or potential—as soon as it arises, in a manner that ensures transparency and integrity.
7. 💰 No Direct or Indirect Benefit From Client Investments
We do not receive commissions, brokerage, referral income, or any other benefit from mutual fund houses, brokers, or product issuers.
Our revenue is limited to the advisory fees agreed with the client.
8. ✅ Compliance With SEBI Eligibility Criteria
We confirm that we meet all the eligibility conditions under the SEBI (Investment Advisers) Regulations, including:
- NISM certification
- Net worth criteria
- Regulatory reporting
- Recordkeeping obligations
9. 📜 Adherence to SEBI Code of Conduct
We strictly follow the Code of Conduct as specified in Schedule III of the SEBI IA Regulations, including:
- Fiduciary duty
- Confidentiality
- Fairness
- Due diligence
- Transparency
10. 🛑 No Distribution Services Offered (Individual IA)
As an Individual Investment Adviser, we do not offer distribution of any financial product, nor do we recommend products for which we receive any form of compensation or commission.
11. 👨👩👧👦 No Distribution Services by Family Members
We declare that none of our immediate family members (as defined by SEBI) offer distribution services to the same clients we advise.
12. 👥 No Group-Level Cross-Selling (Non-Applicable)
Not applicable to Individual IAs like us, but for client clarity):
If we were a non-individual IA, we would be obligated to ensure:
- No advisory to clients also being served distribution services by the group
- No distribution to advisory clients
13. 📛 Disclosure of Brand Name Usage
We operate under the brand name The Trading Mitra™.
All client communications, marketing, and official materials clearly disclose the legal identity of the RIA—SR Alpha Investment Advisor, registered with SEBI.
14. 🧠 Use of AI/Tools Declaration (If applicable)
If Artificial Intelligence (AI) or algorithmic tools are used in analysis:
- We disclose such usage to the client
- All advice is reviewed and approved by human advisors
- Client data is protected with confidentiality and data security protocols
These are stored for a minimum of 5 years or until dispute resolution.
15. 📥 Grievance Redressal Responsibility
Clients may contact us directly for any concerns. If unresolved within 30 calendar days, complaints can be escalated via SEBI’s SCORES portal:
🔗 https://scores.sebi.gov.in
✅ Important: These declarations are made in accordance with SEBI Regulations and shall be binding on SR Alpha Investment Advisor. Clients are encouraged to read this along with our Client Agreement, Disclosure Document, MITC, and Investor Charter before availing our services.