• Agreement Execution Requirement

The Investment Adviser shall not render any advice or collect any fee unless this Investment Advisory Agreement, including the MITC, is duly executed by the client.

• Client Risk Profiling & Suitability
• The adviser shall conduct a thorough Risk Profiling and Suitability Assessment before giving any investment advice.
• Clients must review and provide written consent on the completed risk profile before any advisory service begins.
• The advice will be aligned with the client’s declared financial situation, goals, and risk tolerance.
• Review / Reassessment of Risk Profile

Risk profiling will be revisited periodically, especially if there’s a change in the client’s income, goal, or risk appetite. Revised advice may be offered accordingly.

• Optional centralized fee collection mechanism

There is an optional ‘Centralized Fee Collection Mechanism for Investment Advisors and Research Analysts’ (CeFCoM) for fee payments.

• Not to accept funds or securities

The Investment Advisor (IA) shall only accept payments towards its fees for Investment Advisory Services and is not permitted to accept funds or securities in its account on the Client’s behalf.

• Adherence to SEBI Code of Conduct

The Investment Adviser abides by the Code of Conduct prescribed under the Third Schedule of SEBI IA Regulations, which ensures:

• Integrity
• Fairness
• Due diligence
• Confidentiality
• Fiduciary responsibility

• Client Responsibilities

Clients are expected to:

• Provide complete, accurate, and updated information on their financial status and goals.
• Notify the Adviser of any material change in personal or financial circumstances.
• Make all investment decisions based on their discretion and acknowledge the inherent market risks.
• IA Cannot Execute/carry trade on behalf of client

The Client is advised not to permit IA to execute any trade on his/her/its behalf without explicit consent.

• No Assured Returns / Free Trial Promise

The Investment Adviser does not assure, or guarantee returns in any manner. Any assured/guaranteed/fixed returns schemes or any other schemes of similar nature are prohibited by law. No scheme of this nature shall be offered to the Client by the IA. There are no free trial services offered, and any promotional material or communication claiming otherwise shall be disregarded. Investment in securities markets is subject to market risk. The SEBI registration, enlistment with IAASB, and NISM certification do not guarantee the performance of IA or assure returns to the Client.

• Segregation of Advisory & Distribution Activities

The Investment Adviser and its family or group entities shall not:

• Provide distribution services to the advisory clients, or
• Offer investment advisory to distribution clients.
• There is a strict client-level segregation of advisory and distribution services, in compliance with SEBI’s norms.

• No Power of Attorney / Discretionary Control

The Investment Adviser shall not seek or accept any Power of Attorney (PoA) or direct authorization to execute trades or manage the client’s funds/securities.

Clients are responsible for implementing advice through their own broker or intermediary.

• Disclosure of Conflicts of Interest
• Any conflict of interest (actual or potential) arising during the advisory relationship will be promptly disclosed to the client in writing.
• We do not derive any benefit (commission, rebate, incentive) from product manufacturers, brokers, or intermediaries.

• Disclosure on Non-SEBI Products

  Clients are informed that:

• Any advice involving products or services outside SEBI’s regulatory scope (e.g., insurance, real estate, crypto) will be clearly disclosed.
• Clients must acknowledge that grievances related to such products cannot be raised with SEBI.

• Disclosure of Other Business Activities

 If the Investment Adviser is engaged in any other business activity, it shall be declared clearly, and such activity shall not conflict with the fiduciary duty owed to the client.

• AI Usage Disclosure (If Applicable)

  If Artificial Intelligence tools are used in advisory (e.g., risk scoring, idea generation):

• The extent of such usage will be transparently disclosed during onboarding or whenever applicable.
• Clients’ data will be handled with confidentiality and data protection standards as per applicable regulations.

• Use of Brand Name / Identity

  The Investment Adviser operates under the brand name The Trading Mitra™.

  This name is clearly linked to the registered entity – SR Alpha Investment Advisor – and is used in all    communications and legal documentation transparently.

• Record Maintenance

  All client interactions, advice issued, and correspondence (calls, emails, chats) are recorded and maintained for five (5) years, or longer if related to unresolved disputes.

• Investor Charter & Complaint Status

The SEBI-mandated Investor Charter is available on the official website of the adviser.

Complaint redressal status is updated monthly on the homepage in SEBI-prescribed format.

• Grievance Redressal Mechanism

First Level: Contact SR Alpha Investment Advisor directly via email/phone.

Second Level: If unresolved within 30 days, clients may file a complaint on SEBI’s scores portal: https://scores.sebi.gov.in

      Third Level: If the Client remains dissatisfied with the outcome of the SCORES complaint, the Client may consider the Online Dispute Resolution (ODR) through the Smart ODR portal at https://smartodr.in.

• Deposit Requirements Disclosure

  As per latest SEBI norms:

• The Adviser maintains a mandatory refundable deposit (₹1 lakh for up to 150 clients) to enhance investor protection.
• This acts as a safeguard to ensure accountability and compliance with SEBI obligations.

• Other T & C
• The Investment Advisor shall, while making an investment advice to client, inform client of all material facts relating to the key features of the products or securities, particularly, performance track record.
• The Investment Advisor will draw client attention to the warnings, disclaimers in documents, advertising materials relating to an investment product which Investment Advisor recommend to client.
• The IA shall never ask for the Client’s login credentials and OTPs for the Clients.
• Trading Account, Demat Account and Bank Account. Never share such information with anyone including IA.
• Amounts received towards the fees, charges or any amount, shall be evidenced through a receipt voucher / receipt confirmation, issued by the Investment Advisor through printed hard copy / written memo / electronic communication including messaging Services like short message service (‘SMS’) / WhatsApp message / Email /others.