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Client Agreement Form
LevelOne Research
Registration No.: INH000022233
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Terms and Conditions:
Research Analyst Details Name: LevelOne Research SEBI Registration No.: INH000022233 Registered Office: Unit 3, 4th Floor, Block B, UMC building,Kudlu Gate, Bengaluru,Karnataka,560068 Authorized Representative: Mr. Gaurav Kumar Sharma MITC and Declarations 1. Availing the Research Services By accepting the delivery of the research service, I confirm that I have voluntarily elected to subscribe to the research services of the Research Analyst (RA) at my sole discretion. I acknowledge that these services shall be rendered in accordance with the applicable provisions of the SEBI (Research Analyst) Regulations, 2014. 2. Obligations on RA The RA and I shall be bound by the SEBI Act and all applicable rules and regulations of SEBI, including the Research Analyst Regulations and relevant notifications issued from time to time. 3. Client Information and KYC I agree to furnish all required information and documents as mandated by SEBI/RAASB from time to time. The RA shall collect, store, upload, and verify my KYC records with the KRA. 4. Standard Terms of Service I have read and understood the terms and conditions applicable to research analysts under SEBI regulations, including the fee structure. I am subscribing for my own benefit, and any reliance on the research report is based on my own judgement. I understand that: • Investments based on recommendations are subject to market risks. • Recommendations do not assure returns. • No claim can be made for losses incurred. 5. Research Analyst's Declaration • RA is registered with SEBI (Reg No: INH000022233). • RA possesses required qualifications and complies with legal provisions. • Maximum fee: ₹1.51 lakhs per annum per family. 6. Recommendations by the RA do not assure returns. 7. Consideration and Mode of Payment Client agrees to pay applicable fees via approved modes. No cash allowed. 8. Risk Factors 1. Investments in securities market are subject to market risks. Read all documents before investing. 2. SEBI registration/NISM certification does not guarantee performance. 3. No guaranteed profit, fixed returns, or profit-sharing models. 4. Images shown are for illustration only. 5. RA is not responsible for any financial loss to the client. 6. Clients must understand risks and consult investment advisors. 7. Market is volatile; accepting the service means accepting risks. 8. Testimonials do not guarantee future performance. 9. Reports are confidential and meant only for paid members. 10. Research must not be the sole basis of investment decisions. 11. Technical/derivative analysis may differ from fundamental views. ------------------------------------------------------------ 7. Conflict of Interest – Disclosure Document This document is prepared under SEBI (Research Analyst) Regulations, 2014 to enable clients to make an informed decision. Research Analyst: Mr. Gaurav Kumar Sharma 1. Description about Research Analyst • Terms of service are detailed separately. • No penalties or directions issued by SEBI. • No litigations, proceedings, or regulatory actions. • Associates: None 2. Disclosures regarding Recommendations • RA may hold financial interest in recommended securities. • No conflicts of interest exist that compromise objectivity. • No compensation received from subject company in past 12 months. • No involvement in public offerings of subject company. • No compensation for investment banking/merchant banking. • No compensation for services other than stated above. • Subject company has not been a client in past 12 months. • RA has not served as officer/director of subject company. • RA has not engaged in market-making activities. • RA complies with SEBI conflict of interest guidelines. ------------------------------------------------------------ 8. Termination of Service and Refund Policy • Services may be suspended/terminated if SEBI cancels RA registration. • Refund will be issued on a pro-rata basis for the remaining subscription period. ------------------------------------------------------------ 10. Additional Clauses RA may add voluntary clauses in compliance with SEBI rules with 15-day notice. 11. Mandatory Notice Client acknowledges understanding of SEBI Do's & Don'ts (Master Circular SEBI/HO/MIRSD-POD1/P/CIR/2024/49). ------------------------------------------------------------ 12. Most Important Terms and Conditions (MITC) 1. RA cannot execute trades on behalf of the client. Clients must never allow RA to operate trading accounts. 2. Fees are subject to limits set by SEBI/RAASB. Note: • Current fee limit: ₹1,51,000 per annum per family. • Fee limit excludes statutory charges. • Fee limit not applicable to non-individual/accredited investors. 3. Advance fee allowed up to one quarter only. Refund applicable for unexpired period. 4. Payment modes: cheque, UPI, bank transfer, CeFCoM. Cash not allowed. 5. RA must disclose and mitigate conflicts of interest. 6. Guaranteed/fixed return schemes are prohibited. 7. RA cannot guarantee accuracy, profits, or risk-free investments. 8. Any sales representative promising guaranteed returns is acting illegally. Report such behavior at: Phone: 7760585330 Email: gauravks221010@gmail.com LevelOne Research is not responsible for losses based on unauthorized recommendations. 9. Investments are subject to market risks; recommendations do not assure returns. 10. SEBI registration/RAASB enlistment/NISM certification do not guarantee performance. ------------------------------------------------------------ 11. Grievances Step 1: the client should first contact the RA using the details on its website or following contact details: Customer Care -------------- Contact Person: Prashant Patel Address: Unit 3, 4th Floor, Block B, UMC Building, Kudlu Gate, Bangalore, Karnataka, India – 560068 Contact No.: 7996023463 Email: contact@leveloneresearch.com Head of Customer Care -------------------- Contact Person: Prashant Patel Address: Unit 3, 4th Floor, Block B, UMC Building, Kudlu Gate, Bangalore, Karnataka, India – 560068 Contact No.: 7996023463 Email: contact@leveloneresearch.com Working Hours: 10 AM to 6 PM Compliance Officer ------------------- Contact Person: Gaurav Kumar Sharma Address: Unit 3, 4th Floor, Block B, UMC Building, Kudlu Gate, Bangalore, Karnataka, India – 560068 Contact No.: 7760585330 Email: gauravks221010@gmail.com Working Hours: 10 AM to 6 PM CEO ------- Contact Person: Gaurav Kumar Sharma Address: Unit 3, 4th Floor, Block B, UMC Building, Kudlu Gate, Bangalore, Karnataka, India – 560068 Contact No.: 7760585330 Email: gauravks221010@gmail.com Working Hours: 10 AM to 6 PM Principal Officer ------------------ Contact Person: Gaurav Kumar Sharma Address: Unit 3, 4th Floor, Block B, UMC Building, Kudlu Gate, Bangalore, Karnataka, India – 560068 Contact No.: 7760585330 Email: gauravks221010@gmail.com Working Hours: 10 AM to 6 PM Step 2: If resolution is unsatisfactory, client may lodge a grievance on SEBI SCORES: https://scores.sebi.gov.in Step 3: Client may use Online Dispute Resolution (ODR) through: https://smartodr.in 12. Clients must keep contact details updated at all times. 13. RA will never ask for login credentials or OTPs for Trading, Demat, or Bank accounts. ------------------------------------------------------------ Declaration & Acceptance I hereby declare that I have read, understood, and agree to abide by the MITC mentioned above for availing the services of Mr. Gaurav Kumar Sharma, a SEBI-registered Research Analyst. I acknowledge that I am fully aware of the risks and responsibilities associated with trading and investing based on research services.
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