i. Always deal with SEBI registered Investment Advisers.
ii. Ensure that the Investment Adviser has a valid registration certificate.
iii. Check for SEBI registration number.
Please refer to the list of all SEBI registered Investment Advisers which isavailable on SEBI website in the following link: https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13)
iv. Pay only advisory fees to your Investment Adviser. Make payments of advisoryfees through banking channels only and maintain duly signed receiptsmentioning the details of your payments.
v. Always ask for your risk profiling before accepting investment advice. Insist thatInvestment Adviser provides advisory strictly on the basis of your risk profiling andtake into account available investment alternatives.
vi. Ask all relevant questions and clear your doubts with your investmentAdviser before acting on advice.
vii. Assess the risk–return profile of the investment as well as theliquidity and safety aspects before making investments.
viii. Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees,advisory plans, category of recommendations etc. before dealing with anyInvestment Adviser.
ix. Be vigilant in your transactions.
x. Approach the appropriate authorities for redressal of your doubts / grievances.
xi. Inform SEBI about Investment Advisers offering assured or guaranteed returns.Don’ts
xii. Don’t fall for stock tips offered under the pretext of investment advice.
xiii. Do not provide funds for investment to the Investment Adviser.
xiv. Don’t fall for the promise of indicative or exorbitant or assured returns by theInvestment Advisers. Don’t let greed overcome rational investment decisions.
xv. Don’t fall prey to luring advertisements or market rumors.
xvi. Avoid doing transactions only on the basis of phone calls or messages fromanyInvestment adviser or its representatives.
xvii. Don’t take decisions just because of repeated messages and calls by InvestmentAdvisers.
xviii. Do not fall prey to limited period discount or other incentive, gifts, etc. offered byInvestment advisers.
xix. Don’t rush into making investments that do not match your risk takingappetite and investment goals.
xx. Do not share login credential and password of your trading and demat accountswith the Investment Adviser.