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 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 Office details (i.e. Head office/ regional/ local Office) on 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.

To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Investment Advisers.

Not to discriminate in terms of services provided, among clients opting for same/similar products/services offered by investment adviser.

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 disclose any conflict of interest of the investment advisory activities with any other activities of the investment adviser.
- To disclose the extent of use of Artificial Intelligence tools in providing investment advisory services.

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

To treat all advisory clients with honesty and integrity.

To make adequate disclosure to the investor of all material facts such as risks, obligations, costs, etc. relating to the products or securities advised by the adviser.

To provide clear guidance and adequate caution notice to clients when providing investment advice for dealing in complex and high-risk financial products/services.

To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.

To disclose the timelines for the various services provided by the investment adviser to clients and ensure adherence to the said timelines.

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

1. Investor can lodge complaint/grievance against Investment Adviser in the following ways:

Mode of filing the complaint with investment adviser

In case of any grievance / complaint, an investor may approach the concerned Investment Adviser who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.

Mode of filing the complaint on SCORES or with Investment Adviser Administration and Supervisory Body (IAASB)

i. SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner) (https://scores.sebi.gov.in)

Two level review for complaint/grievance against investment adviser:

First review done by designated body (IAASB)
Second review done by SEBI

ii. Email to designated email ID of IAASB

2. If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

3. 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

E. Rights of investors

Right to Privacy and Confidentiality

Right to Transparent Practices

Right to fair and Equitable Treatment

Right to Adequate Information

Right to Initial and Continuing Disclosure
- Right to receive information about all the statutory and regulatory disclosures.

Right to Fair & True Advertisement

Right to Awareness about Service Parameters and Turnaround Times

Right to be informed of the timelines for each service

Right to be Heard and Satisfactory Grievance Redressal

Right to have timely redressal

Right to Suitability of the Financial Products

Right to Exit from Financial product or service in accordance with the terms of agreement with the investment adviser

Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services

Additional Rights to vulnerable consumers
- Right to get access to services in a suitable manner even if differently abled

Right to provide feedback on the financial products and services used

Right against coercive, unfair, and one-sided clauses in financial agreements

F. 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.

Check for SEBI registration number.

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&intmId=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.
You may make payment of advisory fees through Centralised Fee Collection Mechanism (CeFCoM) of IAASB if investment adviser has opted for the mechanism.

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.

Assess the risk–return profile of the investment as well as the liquidity and safety aspects before making investments.

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 any Investment Adviser.

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.

Always be aware that you have the right to exit the service of an Investment Adviser

Always be aware that you have the right to seek clarifications and clear guidance on advice

Always be aware that you have the right to provide feedback to the Investment Adviser in respect of services received.

Always be aware that you will not be bound by any clause, prescribed by the investment adviser, which is contravening any regulatory provisions.

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, demat or bank accounts with the Investment Adviser.

Data for the month ending - March 2025

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	April 2024	Nil	Nil	Nil	Nil
2	May 2024	Nil	Nil	Nil	Nil
3	June 2024	Nil	Nil	Nil	Nil
4	July 2024	Nil	Nil	Nil	Nil
5	August 2024	Nil	Nil	Nil	Nil
6	September 2024	Nil	Nil	Nil	Nil
7	October 2024	Nil	Nil	Nil	Nil
8	November 2024	Nil	Nil	Nil	Nil
9	December 2024	Nil	Nil	Nil	Nil
10	January 2025	Nil	Nil	Nil	Nil
11	February 2025	Nil	Nil	Nil	Nil
12	March 2025	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	2024-2025	Nil	Nil	Nil

	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

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/

Details of Designation	Contact Person Name	Address where the physical address location	Contact No.	Email-ID	Working hours when Complainant can call
Customer Care	NA	NA	NA	NA	NA
Head of Customer Care	NA	NA	NA	NA	NA
CEO	NA	NA	NA	NA	NA
Principal Officer	Manish Gupta	B-102, Sector 50, Noida 201301	9810034960	manish@equinoxindia.in	10 AM to 5 PM on weekdays