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Privus Advisors is a limited liability firm, bearing registration No. ACH-3872, with its registered office at 115 DBS Heritage House  Prescott Street, Fort  Mumbai – 400001  Maharashtra, India

SEBI Registration Details
Privus Advisors is registered with the Securities Exchange Board of India as an Investment Adviser, Registration No. INA000019752.

Validity
Perpetual

Principal Officer Details 
Name: Jeremy Solomon
Email Id: compliance@privus.in
Corresponding SEBI Office
Address: Plot No.C4-A, ‘G’ Block
Bandra-Kurla Complex, Bandra
(East), Mumbai – 400051, Maharashtra
Tel: +91-22-26449000 / 40459000

AMFI Registration Details

Privus Advisors is registered with the Association of Mutual funds in India, as a mutual fund distributor, Registration No. ARN-319723. Privus Advisors counsels its clients on various products and services based on independent objective criteria and sound principles of financial planning, that depend on the client’s financial goals. Privus Advisors shall neither render any investment advice nor charge any fee until the client has signed the Investment Advisory Agreement. Clients who have availed Transaction Services will not be onboarded for Advisory Services and vice versa.

For specific cases on Tax & Estate Planning, Privus Advisors would engage professional consultants; the charges for the same would be paid by the Client directly to the professional/service provider. No material disciplinary action has been taken on Privus Advisors by any Regulatory Authority pertaining to advisory services.

There is no obligation/ compulsion on you to buy or invest in products mentioned in the financial plan through Privus Advisors and you may invest in these products/services at your discretion through any other product distributor or service provider. Please note that all investments are subject to market risks, read all scheme/instrument related documents carefully before investing for complete understanding.

Vision and Mission Statements for investors

Vision: Invest with knowledge & safety.
Mission: Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

Details of business transacted by the Investment Adviser with respect to the investors

To enter into an agreement with the client providing all details including fee details, aspects of Conflict-ofinterest disclosure and maintaining confidentiality of information.
To do a proper and unbiased risk – profiling and suitability assessment of the client.
To conduct audit annually.
To disclose the status of complaints on its website.
To disclose the name, proprietor name, type of registration, registration number, validity, complete address with telephone numbers and associated SEBI Office details (i.e. Headoffice/ regional/ local Office) on its website.
To employ only qualified and certified employees.
To deal with clients only from official number
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to advice has taken place.
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Investment Advisers.
Not to discriminate in terms of services provided, among clients opting for same/similar products/services offered by investment adviser.

Details of services provided to investors (No Indicative Timelines)

Onboarding of Clients
1. Sharing of agreement copy
2. Completing KYC of clients
Disclosure to Clients
1. To provide full disclosure about its business, affiliations, compensation in the agreement.
2. To not access client’s accounts or holdings for offering advice.
3. To disclose the risk profile to the client.
4. To disclose any conflict of interest of the investment advisory activities with any other activities of the investment adviser.
5. To disclose the extent of use of Artificial Intelligence tools in providing investment advisory services.
To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
To treat all advisory clients with honesty and integrity.
To make adequate disclosure to the investor of all material facts such as risks, obligations, costs, etc. relating to the products or securities advised by the adviser.
To provide clear guidance and adequate caution notice to clients when providing investment advice for dealing in complex and high-risk financial products/services.
To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.
To disclose the timelines for the various services provided by the investment adviser to clients and ensure adherence to the said timelines.

Details of grievance redressal mechanism and how to access it

Investor can lodge complaint/grievance against Investment Adviser in the following ways:Mode of filing the complaint with investment adviser In case of any grievance / complaint, an investor may approach the concerned Investment Adviser who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance. Mode of filing the complaint on SCORES or with Investment Adviser Administration and Supervisory Body (IAASB)
1. SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner) https://scores.sebi.gov.inTwo level review for complaint/grievance against investment adviser:
  - First review done by designated body (IAASB)
  - Second review done by SEBI
2. Email to designated email ID of IAASB
If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.
With regard to physical complaints, investors may send their complaints to:Office of Investor Assistance and Education, Securities and Exchange Board of India, SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

Rights of investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to Fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to receive information about all the statutory and regulatory disclosures.
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of the timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to have timely redressal
Right to Suitability of the Financial Products
Right to Exit from Financial product or service in accordance with the terms of agreement with the investment adviser
Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services
Additional Rights to vulnerable consumers.
Right to get access to services in a suitable manner even if differently abled.
Right to provide feedback on the financial products and services used.
Right against coercive, unfair, and one-sided clauses in financial agreements.

Expectations from the investors (Responsibilities of investors)

Do’s
1. Always deal with SEBI registered Investment Advisers.
2. Ensure that the Investment Adviser has a valid registration certificate.
3. 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/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13
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.
  You may make payment of advisory fees through Centralised Fee Collection Mechanism (CeFCoM) of IAASB if investment adviser has opted for the mechanism.
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.
11. Inform SEBI about Investment Advisers offering assured or guaranteed returns.
12. Always be aware that you have the right to exit the service of an Investment Adviser.
13. Always be aware that you have the right to seek clarifications and clear guidance on advice.
14. Always be aware that you have the right to provide feedback to the Investment Adviser in respect of services received.
15. Always be aware that you will not be bound by any clause, prescribed by the investment adviser, which is contravening any regulatory provisions.
Don’ts
1. Don’t fall for stock tips offered under the pretext of investment advice.
2. Do not provide funds for investment to the Investment Adviser.
3. 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.
4. Don’t fall prey to luring advertisements or market rumours.
5. Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser or its representatives.
6. Don’t take decisions just because of repeated messages and calls by Investment Advisers.
7. Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment advisers.
8. Don’t rush into making investments that do not match your risk-taking appetite and investment goals.
9. Do not share login credential and password of your trading, demat or bank accounts with the Investment Adviser.

Thank you for visiting www.privus.in (hereinafter referred to as “the Website”). The term “Privus “refers to Privus Advisors, its employees and affiliates.
The confidentiality of your sensitive personal information is important to us. This privacy policy is designed to inform you how Privus uses the information collected by the website. Please read this privacy policy before using the website or submitting any sensitive personal information or data. By using the website or upon signing Privus’ Client Questionnaire, you are accepting this privacy policy.

Collection of Information

Privus, its employees and affiliates collect information (which can include sensitive personal information) to assist us in our relationship with you. If you are unable to provide the information we need, we may not be able to provide you with the product or service you have requested. We may also be required by law to collect information from you. The types of information could be as follows:

Personal identity information such as postal address, email address, etc.
Information which relates to your financial affairs, business, employment, income or assets
Information which arises out of or is required in connection with the transactions you do with Privus or through Privus
Information which helps Privus process applications made by you for particular products and services
Information relevant to product marketing

This information is only used to fulfil the services requested of us, unless you give us permission to use it in another manner.

Distribution of Information

While we will not generally disclose your personal information, we may do so if we are (i) required to do so by law, any Government authority, any court order, decree or award, (ii) trying to protect against or prevent actual or potential fraud or unauthorised transactions, (iii) investigating fraud which has already taken place, or (iv) required to do so to market intermediaries, agents, product developers in relation to investments made by you.

Commitment to Information Security

Your personal information is kept secure. We comply with the relevant security principles set out in the applicable privacy laws of India. We are not bound by privacy laws of any jurisdiction other than India. Only employees of Privus, its affiliates (who have agreed to maintain confidentiality in relation to the information) and market intermediaries and product developers with respect to investments made by you will have access to this information.

Changes to the Privacy Policy

The privacy policy may be revised from time to time and the updated policy will be posted on our website. You are advised to review the privacy policy whenever you visit this website so that you understand how any personal information you provide may be used.

Contact Information If you have any questions, concerns, or comments about our privacy policy you may contact us on connect@privus.in