SEBI Compliance

1. About SEBI Registration

Fynamics Wealth Financial Services is registered with the Securities and Exchange Board of India (SEBI) as an Investment Advisor under the SEBI (Investment Advisers) Regulations, 2013. This registration demonstrates our commitment to maintaining the highest standards of professionalism and regulatory compliance.

Our SEBI registration ensures that we operate within the regulatory framework designed to protect investor interests and maintain market integrity.

2. Regulatory Framework Compliance

2.1 SEBI (Investment Advisers) Regulations, 2013

We strictly adhere to all provisions of the Investment Advisers Regulations, including:

• Maintaining minimum net worth requirements
• Employing qualified and certified personnel
• Following prescribed code of conduct
• Maintaining proper books of accounts and records
• Filing periodic returns and reports with SEBI
• Implementing robust risk management systems

2.2 Other Applicable Regulations

• SEBI (Mutual Funds) Regulations, 1996
• SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015
• SEBI (Prohibition of Insider Trading) Regulations, 2015
• SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations, 2003
• Prevention of Money Laundering Act (PMLA), 2002
• Foreign Exchange Management Act (FEMA), 1999

3. Code of Conduct

As a SEBI registered Investment Advisor, we follow a strict code of conduct that includes:

4. Investment Advisory Services

4.1 Permitted Activities

• Providing investment advice on securities
• Portfolio management and asset allocation guidance
• Financial planning and goal-based investing
• Risk profiling and suitability assessment
• Investment research and analysis
• Mutual fund advisory services

4.2 Prohibited Activities

• Guaranteeing returns on investments
• Dealing in securities on own account
• Acting as a custodian of client securities or funds
• Lending money or securities to clients
• Engaging in insider trading
• Market manipulation activities

5. Client Protection Measures

5.1 Know Your Customer (KYC)

We maintain robust KYC procedures to:

• Verify client identity and address
• Assess financial situation and investment objectives
• Determine risk tolerance and investment horizon
• Ensure suitability of investment recommendations
• Comply with anti-money laundering requirements

5.2 Conflict of Interest Management

We have implemented comprehensive policies to identify, manage, and disclose conflicts of interest:

• Disclosure of all material conflicts
• Segregation of advisory and distribution activities
• Fair allocation of investment opportunities
• Regular monitoring and review processes

6. Fee Structure and Transparency

6.1 Fee Disclosure

In compliance with SEBI regulations, we provide complete transparency regarding our fee structure:

• Advisory fees are clearly disclosed upfront
• No hidden charges or undisclosed commissions
• Separate disclosure of third-party charges
• Regular fee statements provided to clients

6.2 Fee Structure

7. Record Keeping and Reporting

7.1 Client Records

We maintain comprehensive records as required by SEBI:

• Client agreements and KYC documents
• Investment advice provided and rationale
• Client communications and instructions
• Fee calculations and payment records
• Compliance monitoring reports

7.2 Regulatory Reporting

We submit regular reports to SEBI including:

• Annual activity reports
• Financial statements and net worth certificates
• Client complaint reports
• Compliance certificates
• Any material changes in business operations

8. Risk Management Framework

Our risk management framework includes:

• Regular risk assessment and monitoring
• Adequate internal controls and procedures
• Segregation of duties and responsibilities
• Regular compliance audits and reviews
• Business continuity and disaster recovery plans
• Cybersecurity and data protection measures

9. Professional Qualifications

Our investment advisors hold the following qualifications:

• NISM (National Institute of Securities Markets) certifications
• CFA (Chartered Financial Analyst) or equivalent qualifications
• Regular continuing education and professional development
• Compliance with SEBI's fit and proper criteria

10. Investor Education and Awareness

As part of our commitment to investor protection, we:

• Provide educational content on investment risks and opportunities
• Conduct investor awareness programs
• Maintain transparent communication about market developments
• Promote long-term investment discipline
• Encourage diversification and risk management

11. Compliance Monitoring

11.1 Internal Compliance

• Dedicated compliance officer and team
• Regular compliance monitoring and testing
• Quarterly compliance reports to management
• Annual compliance certification

11.2 External Oversight

• SEBI inspections and examinations
• Independent audit of compliance procedures
• Regulatory reporting and disclosures
• Industry best practice benchmarking

12. Contact Information