• Terms & Conditions Agreement Consent

Clients must confirm that they have read and understood the terms, scope, fee structure, risk factors, declarations, disclosures and disclaimers as part of the Investment Advisory Agreement.

• Risk Profiling Consent

Clients must complete and sign the Risk Profiling form, either digitally or physically, to help us determine suitable investment advice aligned with their financial goals and risk appetite.

• Dependent Family Members Declaration

Clients are required to disclose dependent family members whose investments are funded by their income. This declaration must be updated annually or upon change.

• Annual PAN Declaration for Family-Based Advisory

For clients onboarded as a “family unit,” PAN details of all members being considered as a single client must be submitted annually.

• Investment Policy Declaration (Non-Individual Clients)

Non-individual clients must submit their Investment Policy Document or relevant excerpts to facilitate risk profiling and suitability. Advisory services may be withheld if this is not provided.

• Declaration on Fee Structure and Limits

The Investment advisor declare that it shall charge advisory fees only in one of the following SEBI-permitted modes:

Fixed Fee: Not exceeding ₹1,51,000 per client per year

AUA-based Fee: Not exceeding 2.5% per annum of Assets Under Advice

The fee model will be transparently mentioned in the Agreement and client invoices.

• Fee Payment Declaration

Clients must agree to pay advisory fees through traceable banking channels only such as NEFT, RTGS, IMPS, UPI, or account payee cheques. Cash payments are not accepted.

• Explicit Consent for Trade Execution (If Applicable)

Where implementation services are offered:

Clients must provide explicit written consent for trade execution.

This can be given through Aadhaar e-sign (via DigiLocker), timestamped email, or in-person confirmation, as per SEBI Regulation 19(1)(d).

• Acknowledgment of Non-SEBI Products/Services
  We do not provide advisory services on products outside SEBI’s jurisdiction (e.g., real estate, insurance, and cryptocurrencies). Clients must acknowledge that grievances related to such products cannot be raised under SEBI’s redressal mechanism.
• No Assured Returns Declaration

Clients must acknowledge that investment advice is provided on a best-effort basis and does not guarantee assured returns. All investments carry market risk.

• Grievance Redressal Awareness

Clients are informed about the process to raise grievances:

First with SR Alpha Investment Advisor via designated contact methods.

If unresolved within 30 days, they can escalate via SEBI’s SCORES portal:

https://scores.sebi.gov.in

• Execution of Agreement

The Investment Advisor shall not render any investment advice or charge any fee until the client has signed the Investment Advisory Agreement.

• No Fund/Asset Handling

The Investment Advisor shall not manage client funds or securities. The only consideration The Investment Advisor receive is fee-based, as per the advisory agreement.

• No Assured Returns

The Investment Advisor shall not guarantee or imply assured, fixed, minimum, or risk-free returns. All investment advice is provided based on suitability and market risk assessment.

• No Power of Attorney (PoA)

The Investment Advisor shall not seek any PoA, trading authority, or account implementation access from the client. Execution of advice shall remain solely under the client’s control.

• Disclosure of Conflicts of Interest

The Investment Advisor shall disclose all conflicts of interest as and when they arise, in writing or through official communication channels.

• No Benefit from Client Investments

The Investment Advisor shall not derive any direct or indirect benefit (commission, referral, and brokerage) from any securities, assets, or investments transacted by the client based on our advice.

• Arms-Length Declaration

The Investment Advisor maintain an arms-length relationship between our investment advisory services and any other business activity (if applicable), in accordance with regulatory requirements.

• Regulatory Eligibility

The Investment Advisor declare full compliance with all eligibility conditions, including qualification, certification, Experience norms, Capital adequacy and deposit requirements (if applicable) and audit requirements, under the SEBI Investment Advisers Regulations.

• Code of Conduct Compliance

The Investment Advisor adhere to the Code of Conduct as specified in Schedule III of the SEBI (Investment Advisers) Regulations, 2013, ensuring fiduciary responsibility, transparency, confidentiality, Integrity and fairness.

• No Distribution Services

The Investment Advisor shall not provide any distribution services, nor receive commissions from product issuers.

• No Cross-Distribution or Cross-Advisory – Group Entities

No distribution services shall be provided to advisory clients by the IA or group entities.

No advisory services shall be provided to distribution clients of the group.

• Adviser’s Liability Disclaimer (Regulatory Limitation of Role)

The client understands that the Investment Adviser is not liable for losses incurred due to market volatility, third-party execution, or macroeconomic risks.

• Data Privacy & Confidentiality Statement

The client’s personal and financial information will be maintained in strict confidence and used solely for providing advisory services, as per applicable data protection regulations.

• Record Retention Consent

The client consents to the adviser maintaining records of communication, risk profiling, advice, and other documentation for a minimum of five years.

• Communication Preference (Mode of Advice Delivery)

Advisory services will be delivered via email, secure platforms as mutually agreed.

• No Free Trial or Preview Services

The Investment Advisor declare that it do not offer free trials, sample portfolios, or preview calls of investment advice, in full compliance with SEBI’s advisory norms.