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Investment Advisory Services Agreement

THIS AGREEMENT IS MADE AND EXECUTED AT INDORE on this … day of MONTH, 2020, BETWEEN

THIS INVESTMENT ADVISORY SERVICES AGREEMENT (the “Agreement”) is made on this …………………..,

BETWEEN

M /s. Ideal Stock Investment Advisor, a registered investment advisor with SEBI Registration No. INA000008747 having office at 2nd Floor, 609 Khatiwala Tank, Opp. Vikas Rekha Complex, Indore, Madhya Pradesh - 452014, (hereinafter referred to as the “INVESTMENT ADVISOR” which expression shall unless excluded by or repugnant to the context, be deemed to include its administrators and permitted assigns) of the FIRST PART

And

Mr. ,

S/O, Mr.,

Aged-

Occupation –

Residence…………… (Hereinafter referred to as the “CLIENT” which expression shall unless it be repugnant to the context or be deemed to mean and include, its administrators &permitted assigns) of the SECOND PART;

Both INVESTMENT ADVISOR and the CLIENT shall also hereinafter individually referred to as Party & collectively as Parties.

Whereas the CLIENT is desirous of availing the advisory services in respect of the analysis of the investment portfolio from the Investment Advisor on the terms & conditions as described hereinafter.

Client is also advised to trade only if investment advice suit his current risk appetite and risk bearing capacity, all such investment advice shall be considered as a view or opinion and client shall on his/her discretion decide actual trades.

As you are with the guidance of a certified investment advisor, they will never ever proceed with your investment without having an updated risk/profile/analysis/ appetite . In order to increase risk appetite of amount on the basis of profit / interest/satisfaction/financial goal etc or Decrease risk appetite on the basis , if you are withdrawn amount for complete your financial goals/ losses etc so in that, you can change service as per your convenience and own consent , according to Nine Services of different different risk appetite details are mentioned here "Low Risk Category :- 1. Daily Opulent - INR 25000 / 25 Calls , INR 45000/- 100 Calls 2. Optimum Options- INR 20000/50 Calls , INR 36000 / 100 Calls 3. Rising MCX Pro - INR 25000 / 50 Calls , 45000/ 100 Calls Moderate Risk Category :- 1. The Bunny Midcap- INR 30000 / 30 Calls , INR 54000/- 60 Calls 2. The Turtle Trade - INR 20000 / 15 Calls , INR 36000/- 30 Calls 3. Option Strategy -25000 / 30 Calls , INR 40000/- 50 Calls High Risk Category :- 1.Mega Derivative -INR 40000 / 22 Calls , INR 76000/- 44 Calls 2. Pivotal Flow/Move - INR 50000 / 15 Calls , INR 92000/- 30 Calls 3. Ideal Strategies - INR 60000 / 30 Calls , INR 106000/- 60 Calls ."

All the investment advice which are suggested by Ideal Stock are communicated in written, via electronic mail or via SMS on registered mobile number, no verbal communication from any of the executives or otherwise under any circumstances shall be considered as advice by Ideal Stock.

Please Note & Understand: Investment in markets are subjected to risk and is to be borne by investor only. Please read terms & conditions / privacy policy / refund policy / disclaimer policy mentioned on Ideal Stock’s website i.e. http://www.idealstock.in/ .

Client agrees to be contacted by our personnel or to receive SMS's and it shall be treated as ‘Opt in’ in case if the contact number you have registered with us is subscribed in national DND registry (Do Not Disturb). By registering for our services you also agree to comply with our Privacy Policy and Terms & Conditions.

If any changes are brought in any of the fields of which you have provided us the information, you shall bring it to our notice by dropping a mail to us at support@idealstock.in

• Ideal Stock is not liable to manage the client’s Demat account, according to the Regulation 22 of SEBI (IA Regulation) 2013.
• Please complete your KYC, Risk Profile & Suitability of Advice, before start of our services.
• Ideal Stock provides advisory services to clients via SMS on registered mobile number.
• Don’t do trade on telephonic calls is not valid in any condition.
• Ideal Stock does not suggest taking loan for investment purpose, as the investment in equity/commodity market is risky by nature.
• As and when required the client shall forward the details of profit/loss transaction to the Ideal Stock.
• Service charges are not accepted in cash by Ideal Stock.
• Clients are advised to not connect to any employee/associate of Ideal Stock on mobile or other personal means of communication . Ideal Stock will not be responsible if any such action taken place.
• Please take our services only if you have trading / Demat account with any SEBI registered stockbroker.
• If Client has made the half payment of services then in that case the services has been delivered on prorate basis.

1. CONSENT OF THE CLIENT

1.1 “I / We have read and understood the terms and conditions of Investment Advisory services provided by the Investment Adviser along with the fee structure and mechanism for charging and payment of fee.”

1.2 “Based on our written request to the Investment Adviser, an opportunity was provided by the Investment Adviser to ask questions and interact with ‘person(s) associated with the investment advice”.

1.3 Investments in Securities are Subject to Market Risks, which Includes Price Fluctuation Risk. There is no Assurance or Guarantee that the Objectives of any of the Products Mentioned in this Document or on this Site will be achieved.

2. DECLARATION FROM THE INVESTMENT ADVISER

2.1 Investment Adviser shall neither render any investment advice nor charge any fee until the client has signed this agreement.

2.2 Investment Adviser shall not manage funds and securities on behalf of the client and that it shall only receive such sums of monies from the client as are necessary to discharge the client’s liability towards fees owed to the Investment Adviser.

2.3 Investment Adviser shall not, in the course of performing its services to the client, hold out any investment advice implying any assured returns or minimum returns or target return or percentage accuracy or service provision till achievement of target returns or any other nomenclature that gives the impression to the client that the investment advice is risk-free and/or not susceptible to market risks and or that it can generate returns with any level of assurance.

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3. FEES SPECIFIED UNDER INVESTMENT ADVISER REGULATIONS AND RELEVANT CIRCULARS ISSUED THEREUNDER

3.1 Regulation 15 A of the amended IA Regulations provide that Investment Advisers shall be entitled to charge fees from a client in the manner as specified by SEBI, accordingly Investment Advisers shall charge fees from the clients in either of the two modes:

(A) Assets under Advice (AUA) mode

a) The maximum fees that may be charged under this mode shall not exceed 2.5 percent of AUA per annum per client across all services offered by IA.

b) IA shall be required to demonstrate AUA with supporting documents like demat statements, unit statements etc. of the client.

c) Any portion of AUA held by the client under any pre-existing distribution arrangement with any entity shall be deducted from AUA for the purpose of charging fee by the IA.

(B) Fixed fee mode

The maximum fees that may be charged under this mode shall not exceed INR 1,25,000 per annum per client across all services offered by IA.

3.2 The payment of fees shall be through any mode which shows traceability of funds. Such modes may include account payee crossed cheque/ Demand Drafts or by way of direct credit to the bank accounts through NEFT/ RTGS/ IMPS/ UPI or any other mode specified by SEBI from time to time. However, the fees shall not be in cash.

4. DUTIES &FUNCTIONS OF THE INVESTMENT ADVISER

4.1 Investment Advisor shall provide Investment Advisory Services to the Client during the term of this Agreement on investment in all financial/investment products under all regulated authorities as is permitted under applicable laws and regulations governing Investment Advisor & the financial industry. The services rendered by the Investment Advisor are non-binding non-recourse advisory in nature and the final decision on the type of instruments; the proportion of exposure and tenure of the investments shall be taken by the Client at its discretion.

4.2 Investment Advisor shall act in a fiduciary capacity as one of the advisors to the Client with respect to managing its investment-related portfolio holistically &will be providing all back end supporting services. Investment Advisor shall act in a bonafide manner for the benefit and in the interest of the Client.

4.3 Investment Advisor shall be in compliance with the SEBI (Investment Advisers) Regulations, 2013 and its amendments, rules, circulars and notifications.

4.4 Investment Advisor shall be in compliance with the eligibility criteria as specified under the IA Regulations at all times.

4.5 Pursuant to the SEBI (INVESTMENT ADVISERS) REGULATIONS, 2013 guidelines with respect to Risk Profiling and Suitability Assessment, Investment Advisor shall conduct proper risk profiling and risk assessment for each of the clients. As per risk analysis, risk capacity, risk aversion & client requirement, the Investment Advisor needs to ensure that correct product/service as per client risk tolerance capacity is being offered, which is suitable for client.

4.6 Investment Advisor shall provide reports to clients on potential and current investments if requested.

4.7 Investment Advisor shall maintain client-wise KYC, advice, risk assessment, analysis reports of investment advice and suitability, terms and conditions document, rationale of advice, related books of accounts and a register containing list of clients along with dated investment advice in compliance with the SEBI (Investment Advisers) Regulations, 2013.

4.8 Investment Advisor shall get annual compliance audit conducted as per the SEBI (Investment Advisers) Regulations, 2013.

4.9 Investment Advisor undertakes to abide by the Code of Conduct as specified in the Third Schedule of the SEBI (Investment Advisers) Regulations, 2013. Investment Advisor shall not receive any consideration in any form, if the client desires to avail the services of intermediary recommended by Investment Advisor.

5. INVESTMENT OBJECTIVE AND GUIDELINES

5.1 Investment Advisor would provide investment advice with respect to investment in equity, mutual funds, insurance, commodities and other financial assets, as needed.

5.2 Investment Advisor undertakes to recommend direct implementation of advice i.e. through direct schemes/ direct codes, and other client specifications / restrictions on investments, if any.

5.3 Investment Advisor shall provide investment advice based on the risk profiling conducted for the client, total budgeted investment amount of the client and time period fordeployment as informed by the client.

5.4 Investment Advisor shall communicate the tax related aspects pertaining to investment advice and as applicable on the investment adviser’s fee, if any.

6. RISK FACTORS

6.1 Investments in securities are subject to market risks and there is no assurance or guarantee that the objective of the investments will be achieved;

6.2 Past performance of the investment adviser does not indicate its future performance.

6.3 The performance of the investments/products may be affected by changes in Government policies, general levels of interest rates and risks associated with trading volumes, liquidity and settlement systems in equity and debt markets.

6.4 Investments in the products which the Clients have opted are subject to wide range of risks which inter alia also include but not limited to economic slowdown, volatility & illiquidity of the stocks, poor corporate performance, economic policies, changes of Government and its policies, acts of God, acts of war, civil disturbance, sovereign action and /or such other acts/ circumstance beyond the control of Investment Advisor or any of its Associates.

6.5 The names of the products/nature of investments do not in any manner indicate their prospects or returns. The performance in the equity may be adversely affected by the performance of individual companies, changes in the market place and industry specific and macro-economic factors.

6.6 Investments in debt instruments and other fixed income securities are subject to default risk, liquidity risk and interest rate risk. Interest rate risk results from changes in demand and supply for money and other macroeconomic factors and creates price changes in the value of the debt instruments.

7. VALIDITY OF ADVISORY SERVICES

7.1 The validity of this agreement starts from the date of signing and will continue to be in force till any of the parties terminate it by giving 1 months’ notice period.

8. AMENDMENTS

8.1 The Investment Adviser and the client shall be entitled to make amendments to this agreement after mutual agreement. This Agreement may be amended or revised only by an instrument endorsed by the Client and by Investment Advisor.

9. TERMINATION

9.1 This Agreement may be terminated under the following circumstances, namely-

(a) Voluntary / mandatory termination by the Investment Adviser.

(b) Voluntary / mandatory termination by the client.

(c) Suspension/Cancellation of registration of Investment Adviser by SEBI.

(d) Any other action taken by other regulatory body/ Government authority.

9.2 In case of a voluntary termination of the agreement, the client would be required to give a 30 days prior written notice while the Investment Adviser would be required to give a 30 days prior written notice.

9.3 In case of suspension of the certificate of registration of the IA, the client may terminate the agreement.

10. IMPLICATIONS OF AMENDMENTS AND TERMINATION

10.1 Notwithstanding any such termination, all rights, liabilities and obligations of the parties arising out of or in respect of transactions entered into prior to the termination of this relationship shall continue to subsist and vest in/be binding on the respective parties or his/its respective heirs, executors, administrators, legal representatives or successors, as the case may be;

10.2 In case the clients are not satisfied with the services being provided by the investment adviser and want to terminate/ stop Investment Advisory services or the investor adviser is unable to provide Investment Advisory services, either party shall have a right to terminate Investment Advisory relationship at any time.

10.3 The Investment Advisor would provide transition support, if requested, to the client in the event of termination.

11. REPRESENTATION TO CLIENT

11.1 Investment Advisor shall ensure that it will take all consents and permissions from the client prior to undertaking any actions in relation to the securities or investment product advised by the investment adviser.

12. SETTLEMENT OF DISPUTES AND PROVISION FOR ARBITRATION

12.1 No suit, prosecution or other legal proceeding shall lie against the Investment adviser for any damage caused or likely to be caused by anything which is done in good faith or intended to be done under the provisions of the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.

12.2 This Agreement is subject to the rules and regulations as are or may be framed/ issued by the Central Government, the Reserve Bank of lndia (RBI), SEBI and/or any other competent authority, from time to time.

12.3 All disputes, differences, claims and questions whatsoever arising from this Agreement between the Client and Investment Advisor and/or their respective representatives touching these presents shall be in accordance with and subject to the provisions of The Arbitration and Conciliation Act, 1996, or any statutory modification or re-enactment thereof for the time being in force. Such Arbitration proceedings shall be held at Mumbai and the language of Arbitration will be English.

13. ADHERENCE TO GRIEVANCE REDRESSAL TIMELINES

13.1 Investment Adviser shall be responsible to resolve the grievances within the timelines specified under SEBI circulars.

14. MISCELLANEOUS

14.1 Each party agrees to perform such further actions and execute such further agreements as are necessary to effectuate the purposes hereof

15. By signing this agreement, client acknowledges all terms & conditions (regarding non guaranteed services & all other stated on the website, Payment Receipt & this Agreement) from Ideal Stock and client intends to take services of Ideal Stock with his free consent and without undue influence, coercion, misrepresentation, mistake of fact and fraud.

I hereby agree to all the terms and condition set forth from page 1 to 7 and by signing this agreement intends to join services of Ideal Stock with my free consent, sound knowledge and investment requirement. I acknowledge that I have not relied on any representation or statement other than those contained in this agreement.

Agreed and Accepted:a

 ……………………………………				  ………………………………………
    Client Signature(s)				     Proprietor
                                           (Ideal Stock Investment Advisor)
(Proprietor of Ideal Stock Investment Advisor)
Date: 

In the presence of:	


Witness 1:	_____________________                


Witness2:	_____________________