STATUTORY

A. Vision and Mission Statements for investors

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

B. Details of business transacted by the Investment Adviser with respect to the investors

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 the client.

To obtain registration with Know Your Client Registration Agency (KRA) and Central 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 SEBI regional/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.

C. Details of services provided to investors (No Indicative Timelines)

Onboarding of Clients

Sharing of agreement copy
Completing KYC of clients

Disclosure to Clients

To provide full disclosure about its business, affiliations, compensation in the agreement.
To not access client’s accounts or holdings for offering advice.
To disclose the risk profile to the client.

To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.

D. Details of grievance redressal mechanism and how to access it

In case of any grievance / complaint, an investor should approach the concerned Investment Adviser and shall ensure that the grievance is resolved within 21 days.

If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s 'SCORES' portal which is a centralized web based complaints redressal system. SEBI takes up the complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES facilitates tracking the status of the complaint.

With regard to physical complaints, investors may send their complaints to: Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai - 400 051.

A common Online Dispute Resolution Portal (“ODR Portal”) which harnesses conciliation and online arbitration for resolution of disputes arising in the Indian Securities Market has been established as per SEBI circular SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”. If unsatisfied with the response, ODR Portal can be accessed via the following link - https://smartodr.in/

E. Expectations from the investors (Responsibilities of investors)

Do’s

Always deal with SEBI registered Investment Advisers.

Ensure that the Investment Adviser has a valid registration certificate.

Don’t fall prey to luring advertisements or market rumors.

Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in the following link:
https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intm Id=13)

Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments.

Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.

Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice.

Be vigilant in your transactions.

Approach the appropriate authorities for redressal of your doubts / grievances.

Inform SEBI about Investment Advisers offering assured or guaranteed returns.

Don’ts

Don’t fall for stock tips offered under the pretext of investment advice.

Do not provide funds for investment to the Investment Adviser.

Don’t fall for the promise of indicative or exorbitant or assured returns by the Investment Advisers. Don’t let greed overcome rational investment decisions.

Don’t fall prey to luring advertisements or market rumors.

Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.

Don’t take decisions just because of repeated messages and calls by Investment Advisers.

Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers.

Don’t rush into making investments that do not match your risk taking appetite and investment goals.

Do not share login credential and password of your trading and demat accounts with the Investment Adviser.

Data for the month ending - August 2024

S. NO.	Received from	Pending at the end of last month	Received	Resolved*	Total Pending#	Pending complaints > 3months	Average Resolution time^ (in days)
1	Directly from Investors	Nil	Nil	Nil	Nil	Nil	Nil
2	SEBI (SCORES)	Nil	Nil	Nil	Nil	Nil	Nil
3	Other Sources (if any)	Nil	Nil	Nil	Nil	Nil	Nil
	Grand Total	Nil	Nil	Nil	Nil	Nil	Nil

^Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by total number of complaints resolved in the current month.

Trend of monthly disposal of complaints

S.No.	Month	Carried forward from previous month	Received	Resolved*	Pending#
1	July 2023	Nil	Nil	Nil	Nil
2	Aug 2023	Nil	Nil	Nil	Nil
3	Sept 2023	Nil	Nil	Nil	Nil
4	Oct 2023	Nil	Nil	Nil	Nil
5	Nov 2023	Nil	Nil	Nil	Nil
6	Dec 2023	Nil	Nil	Nil	Nil
7	Jan 2024	Nil	Nil	Nil	Nil
8	Feb 2024	Nil	Nil	Nil	Nil
9	March 2024	Nil	Nil	Nil	Nil
10	April 2024	Nil	Nil	Nil	Nil
11	May 2024	Nil	Nil	Nil	Nil
12	June 2024	Nil	Nil	Nil	Nil
13	July 2024	Nil	Nil	Nil	Nil
14	August 2024	Nil	Nil	Nil	Nil

	Grand Total	Nil	Nil	Nil	Nil

*Inclusive of complaints of previous months resolved in the current month.
#Inclusive of complaints pending as on the last day of the month.

Trend of annual disposal of complaints

S.NO.	YEAR	Carried Forward from Previous Year	Received	Resolved*
1	2022-23	Nil	Nil	Nil
2	2023-2024	Nil	Nil	Nil
3
	Grand Total	Nil	Nil	Nil

*Inclusive of complaints of previous years resolved in the current year.
#Inclusive of complaints pending as on the last day of the year.

Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SEBI (Investment Advisers) Regulations, 2013 for last and current financial year are as under:

S.No.	Financial Year	Compliance Audit Status	Remarks, if any
1	2022-23	Completed	Nil
2	2023-24	Completed	Nil

Mail your complaints to equinoxindiaria@gmail.com or send by post to Equinox Investment Advisors, B-102, Sector 50, Noida 201301.

We shall endeavour to resolve your complaint within 21 days and shall communicate the same to you.

In case, you are not satisfied with our response:-

You can lodge your grievances with SEBI on their centralized web based complaint redressal system ‘SCORES’ at https://scores.sebi.gov.in.

You can contact SEBI Office on Toll Free Helpline at 1800 266 7575.

You may approach nodal office of SEBI at following address:
Lucknow Local Office
Address :
3rd Floor, Eldeco Corporate Chambers-II,
Vibhuti Khand, Gomti Nagar,
Lucknow - 226010, Uttar Pradesh