AlphaSqr is dedicated to maintaining the highest ethical and regulatory standards in the distribution of Portfolio Management Services (PMS). This Code of Conduct outlines the principles and practices that AlphaSqr is required to uphold.
AlphaSqr considers the investor's interest as paramount and takes all necessary steps to ensure its protection in all circumstances.
AlphaSqr adheres to SEBI Portfolio Management Regulations and guidelines related to distribution, selling, and advertising practices.
AlphaSqr complies with SEBI guidelines in the preparation of sales, promotional, and other literature about PMS schemes.
AlphaSqr discloses to investors all material information, including commissions received for soliciting a PMS strategy.
AlphaSqr abstains from indicating or assuring returns on any strategy.
AlphaSqr maintains the necessary infrastructure to support Portfolio Managers in maintaining high service standards. AlphaSqr ensures the timely and efficient dispatch of disclosure documents, portfolio statements, fee statements, audit reports, and other required materials.
AlphaSqr keeps abreast of developments in the PMS industry, changes in disclosure documents, controlling interests, and other material aspects. AlphaSqr deals with investors appropriately based on up-to-date information.
AlphaSqr maintains confidentiality of all investor details, deals, and transactions.
AlphaSqr places the investor's interest and suitability to their financial needs above all else. Extra commissions or incentives are never the basis for recommending a PMS strategy.
AlphaSqr does not rebate commissions back to investors or attract them through rebates or gifts. AlphaSqr avoids commission-driven malpractices, such as recommending inappropriate strategies for higher commissions.
AlphaSqr abstains from making negative statements about other Portfolio Managers or strategies. AlphaSqr ensures comparisons are made with similar and comparable products, with complete facts.
Relevant individuals associated with AlphaSqr have obtained NISM certification and are registered with AMFI.
AlphaSqr complies with AMFI's KYD norms.
AlphaSqr provides all investor documents required for Anti-Money Laundering/Combating Financing of Terrorism compliance, including KYC documents, Power of Attorney, and investor agreements.
AlphaSqr is diligent in attesting/certifying investor documents and performing In-Person Verification (IPV) according to SEBI/KRA guidelines.
AlphaSqr observes high standards of ethics, integrity, and fairness in dealings with investors, Portfolio Managers, advisers, and other intermediaries. AlphaSqr renders high standards of service, exercises due diligence, and ensures proper care.