Vision
To become a trusted partner for investors by delivering transparent, ethical, and client-centric investment advisory services, enabling informed financial decisions and lasting financial prosperity.
Mission
Our mission is to consistently provide clear, impartial, and reliable financial advice, empowering investors through transparency, integrity, proactive risk management, and ongoing education.
Services Provided by Eraqus Investment Advisors
- To enter into an agreement with the client providing all details including fee details, aspects 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 on its website.
- To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI Office details 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 the investment adviser.
Details of Services Provided to Investors (No Indicative Timelines)
- Onboarding of Clients: We provide a signed copy of the Investment Advisory Agreement and complete full KYC documentation before initiating any advisory services.
- 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.
Client Rights
- Right to receive a signed copy of the Investment Advisory Agreement and completed KYC documentation at the time of onboarding.
- Right to Privacy and Confidentiality of all personal and financial information.
- Right to Transparent Practices, Honest Conduct, and Ethical Advisory Services.
- Right to Adequate Information and Full Disclosure of all material facts, including risks, obligations, fees, and conflicts of interest.
- Right to Receive Investment Advice based on a documented personal Risk Profile and Suitability Assessment.
- Right to Clear Guidance and Caution Notices when dealing with complex or high-risk financial products.
- Right to Know the Expected Timelines for each service and to receive timely execution and updates.
- Right to Exit Advisory Services without penalty or undue restrictions, as per the terms of the agreement.
- Right to Lodge Complaints and Receive Timely, Fair, and Transparent Resolution.
- Right to Provide Feedback, Seek Clarification, and Be Heard in all matters related to advisory services.
- Right to Protection from One-sided, Coercive, or Unfair Clauses in any financial agreement.
- Right to Fair, Truthful, and Non-Misleading Advertisements.
- Right to Equal Treatment across all clients, including vulnerable or differently-abled investors.
- Right to Freedom from Sales Pressure or Promises of Assured Returns.
- Right to be Informed of SEBI Registration Details and all Regulatory Disclosures of the Investment Adviser.
Responsibilities of Investors
Investors are encouraged to actively participate in safeguarding their interests. Some responsibilities include:
Do’s:
- Deal only with SEBI-registered Investment Advisers (IA).
- Check and verify the IA’s SEBI registration details.
- Make advisory fee payments through official banking channels only.
- Demand detailed agreements outlining scope of services and fees.
- Seek proper risk profiling before acting on any investment advice.
- Ask questions, clarify doubts and make informed decisions.
- Regularly review your investments and assess risk-return expectations.
- Stay informed and vigilant throughout the investment journey.
Don’ts:
- Do not provide funds to Investment Advisers for investing on your behalf.
- Avoid investment decisions based solely on phone calls or messages.
- Do not fall for promises of assured or exaggerated returns.
- Do not share login credentials or confidential account access with anyone.
- Avoid impulsive investments based on unverified market rumours or advertisements.
Grievance Redressal Mechanism
At Eraqus Investment Advisors, we ensure all investor grievances are addressed in a transparent and time-bound manner.
- Investor can lodge complaints directly with the Investment Adviser via email/phone. Complaints will be addressed within 21 days.
- Complaints may also be filed through the SEBI SCORES platform (https://scores.sebi.gov.in) with two levels of review – IAASB and SEBI.
- If unsatisfied, investor may initiate resolution via SMART ODR platform for online conciliation or arbitration.
- Complaints can also be submitted physically 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 – 400051
Eraqus Investment Advisors is committed to maintaining a transparent, respectful, and client-focused advisory relationship, fostering mutual trust and financial security.