Rules & Regulations
Regulatory framework governing our advisory services
SEBI Guidelines & Regulations
Registration & Compliance
Client Onboarding
Advisory Services
Fee & Charges
Communication & Disclosure
Prohibited Activities
Code of Conduct
Integrity & Fairness
Act with integrity, fairness, and transparency in all dealings with clients and regulatory authorities.
Professional Competence
Maintain professional knowledge and competence through continuous education and skill development.
Client Interest First
Always place client interests ahead of personal interests and avoid conflicts of interest.
Confidentiality
Maintain strict confidentiality of client information and use it only for legitimate purposes.
Due Diligence
Exercise due diligence in research, analysis, and advisory recommendations.
Compliance
Comply with all applicable laws, regulations, and code of conduct at all times.
Investor Protection Measures
Risk Disclosure
Clear disclosure of all risks associated with investment recommendations.
Suitability Assessment
Advisory recommendations based on comprehensive suitability assessment.
Fee Transparency
Complete transparency in fee structure with no hidden charges.
Grievance Redressal
Accessible and effective grievance redressal mechanism.
Documentation
Proper documentation of all advisory services and client interactions.
Client Education
Investor education initiatives to enhance financial literacy.
Key Regulatory References
SEBI (Investment Advisers) Regulations, 2013
Primary regulations governing investment advisers in India, covering registration, conduct, and compliance requirements.
Download PDFSEBI (Investment Advisers) (Amendment) Regulations, 2020
Amendment to the primary regulations including updated compliance and reporting requirements.
Download PDFSEBI Circulars on Investment Advisory Services
Various circulars issued by SEBI providing clarifications and additional guidelines for investment advisers.
View All CircularsCode of Conduct for Investment Advisers
Detailed code of conduct specifying ethical standards and professional responsibilities.
Download PDFImportant Regulatory Notices
No Guaranteed Returns
As per SEBI regulations, investment advisers are strictly prohibited from promising or guaranteeing any returns on investments. All investments are subject to market risks, and past performance is not indicative of future results.
Registration Does Not Guarantee Performance
Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors. Investors are advised to exercise due diligence.
Advisory vs Execution
Investment advisers provide advisory services only and do not execute trades on behalf of clients. Clients must execute transactions through their own trading accounts with SEBI-registered brokers.
Client Funds & Securities
Investment advisers are not permitted to accept or hold client funds or securities. All payments should be made directly to Tradexic Advisory's official bank account for advisory fees only.
Standard Disclaimers
Market Risk Disclaimer: Investment in securities market are subject to market risks. Read all the related documents carefully before investing. Past performance is not indicative of future returns. Please consider your specific investment requirements, risk tolerance, investment goal, time frame, risk and reward balance before choosing an investment option.
Registration Disclaimer: Tradexic Advisory is registered with SEBI as an Investment Adviser under Registration No. INA000019354. Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
Advisory Disclaimer: All advisory services provided are based on research and analysis conducted using publicly available information. We do not have access to any material non-public information. Recommendations are suitable opinions based on client's risk profile and may not be suitable for all investors.
Liability Disclaimer: While we exercise due diligence in our research and advisory services, we do not accept any liability for investment decisions made by clients based on our advice. Clients are advised to conduct their own due diligence before making investment decisions.
No Execution of Trades: We do not execute trades on behalf of clients. Clients must execute transactions through their own demat and trading accounts maintained with SEBI registered stock brokers.
Download Complete Regulatory Documentation
Access all regulatory documents, policies, and compliance information
Download Compliance Pack (PDF)Questions About Regulations?
Contact our compliance officer for any queries regarding regulations and compliance