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SEBI - Do’s and Don’ts while dealing with Investment Advisers.

Do’s
1. Always deal with SEBI registered Investment Advisers.

2. 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/otherentry/nov-2018/do-s-and-don-ts-while-dealing-with-investment-advisers_41124.html 

3. Ensure that the Investment Adviser has a valid registration certificate.

4. 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.

5. 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.

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

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

8. 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.

9. Be vigilant in your transactions.

10. Approach the appropriate authorities for redressal of your doubts / grievances. Inform SEBI about Investment Advisers offering assured or guaranteed returns.

Don’ts
11. Do not deal with unregistered entities.

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

13. Do not give your money for investment to the Investment Adviser.

14. 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.

15. Don’t get carried away by luring advertisements or market rumours.

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

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

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

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

The original link - https://www.sebi.gov.in/otherentry/nov-2018/do-s-and-don-ts-while-dealing-with-investment-advisers_41124.html
Atul Mishra CFPCM, CWM, MFP, CII(Award), DipCISI
SEBI Registered Investment Adviser
(Registration No. INA000004245)
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Statutory Details and Risk Factors

This document may be date sensitive. The views expressed herein are as of date and are based on internal data, publicly available information and other sources believed to be reliable. Any calculations made are approximations, meant as guidelines only, which you must confirm before relying on them. The information contained in this document is for general purposes only and not an investment advice. The document is given in summary form and does not purport to be complete. The document does not have regard to specific investment objectives, financial situation and the particular needs of any specific person who may receive this document. The information/ data herein alone are not sufficient and should not be used for the development or implementation of an investment strategy. The statements contained herein are based on our current views and involve known and unknown risks and uncertainties that could cause actual results, performance or events to differ materially from those expressed or implied in such statements. Past performance may or may not be sustained in future. By this document, Amigos Finserv is not guaranteeing / offering / communicating any indicative yield or returns on any investments made in the financial product(s). Neither Amigos Finserv nor any person connected with them, accepts any liability arising from the use of this document. The recipient(s) before acting on any information herein should make his/her/their own investigation and seek appropriate professional advice and shall alone be fully responsible / liable for any decision taken on the basis of information contained herein.

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