To enter into an agreement with the client providing all details including fee details, aspect of Conflict of interest disclosure and maintaining confidentiality of information.
To do a proper and unbiased risk – profiling and suitability assessment of theclient.
To obtain registration with Know Your Client Registration Agency (KRA) andCentral Know Your Customer Registry (CKYC).
To conduct audit annually.
To disclose the status of complaints in its website.
To disclose the name, proprietor name, type of registration, registration number,validity, complete address with telephone numbers and associated SEBIregional/local Office details in its website.
To employ only qualified and certified employees.
To deal with clients only from official number
To maintain records of interactions, with all clients including prospective clients(prior to onboarding), where any conversation related to advice has taken place.