Service Agreement - NetWorth Research & Investment Advisor
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Service Agreement

INVESTMENT ADVISORY SERVICES

This Investment advisory agreement is made on the
day on
Email Id:
specified below


By and between

Mr. S/o(D/o) Mr.
A/o Years,
R/o
PAN
(hereinafter referred to as the “Client” or “Investor”)

And

Net Worth Research and Investment advisor, a SEBI registered investment adviser firm having its registered office at 206 2nd Floor Aditya Pratap Building 85 Shree Nagar Main Road, Indore Madhya Pradesh 452001 (hereinafter referred to as the “Investment Adviser”)

(Collectively called “Parties”)

PURPOSE

The Client wishes to obtain advice about related investment and financial affairs. NetWorth Research & Investment Advisor is in the profession of providing investment planning advice to individuals and is willing to perform such services for the Client upon the terms and conditions set forth.


TERMS OF AGREEMENT

For there to be a successful investment advice relationship, it is agreed between NetWorth Research & Investment Advisor and the Client that:

  • FEE ONLY. We are SEBI registered Investment Advisor & our relationship will be FEE ONLY, which means our compensation only comes from your fees, not from commissions or referrals. So, you can be sure that we only have your best interest in mind, also we have not earned and charged any type of commission and referrals fee.
  • SERVICES OFFERED. As discussed, this engagement will include
    • All services required to achieve your financial objective
    • Setting Financial Goals & Objectives.
    • Developing a summary of your current financial situation.
    • Risk profile assessment and suggestions with risk profile test.
    • Detailed Research Report.
    • Continuous Investment advice on your investment matters.
  • CLIENT ASSETS. The Client will hold all assets. NetWorth Research & Investment Advisor will not receive, retain, or otherwise physically control any of the Client's cash, securities, or other assets.
  • SCOPE OF SERVICES: The Investment adviser shall always act in a fiduciary capacity towards the client. The facts and figures of the advice will be related to the National Stock Exchange and the subject matter of the services is always listed securities.
  • CONFIDENTIALITY. All information and advice furnished by either party to the other, not disclosed to third parties except as agreed upon in writing by this contract or required by law.

  • LEGAL, ACCOUNTING, AND TAX ADVICE The Investment Adviser is not qualified to give an accounting, legal, and Tax advice. The Investment adviser will provide the tax invoice for the payment and charge the Good and Services Tax. This Good and Services Tax amount is not part of the fee amount client will bear this amount. In any case, this tax amount shall not refundable. If the client registered under the Goods and Services Tax, as a registered supplier, then it is a clear responsibility of the client to disclose the GSTIN on before the Adviser.
  • COMMUNICATION & REPRESENTATION: Only written communication is valid in this investment advisory process; oral and informal communication is null under the preview of this agreement. On the other hand, Investment will not accept any form of representation on behalf of the client in any stage of engagement. Investment advisory services are for the client only.
  • DEVELOPMENT OF RECOMMENDATIONS. As the Client's Advisor, NetWorth Research & Investment Advisor agrees to review all information provided by the Client. The recommendation and advice developed by NetWorth Research & Investment Advisor are based upon our technical and fundamental analysis as an investment advisor and results of the recommendation and advice cannot be guaranteed.
  • IMPLEMENTATION OF ADVICE: The Client is free to implement of our advice and recommendation. The Investment adviser not provide any type of execution and distribution activities
  • STRATEGY OF ADVICE: Investment advice is purely based on technical analysis.
  • RESPONSIBILITIES OF THE CLIENT
    • The Client agrees to provide information regarding income, investments, income tax situation, estate plans, and other pertinent matters as requested by NetWorth Research & Investment Advisor
    • The investment adviser shall not be required to verify any information obtained from the Client, his/her Advocate, or his/her accountant.
    • The Client is free always to accept or reject any recommendations from NetWorth Research & Investment Advisor, and the Client acknowledges that he/she has sole authority regarding the implementation.
    • The Client acknowledges that NetWorth Research & Investment Advisor cannot adequately perform services on the Client's behalf unless the Client performs such responsibilities.
    • The client shall be fully responsible for his/her computer, Mobile phone and other electronic system with mail in respect to dealing with NetWorth Research & Investment Advisor.
    • In this engagement, the principle of Caveat Emptor will be strictly enforced. The burden of loss on the shoulders of the client, if the client is giving any incorrect information or concealment of important information.
    • The client shall read and understand the all terms & Conditions, Disclosures and Disclaimers.
    • The Client shall sole responsible for his/her past, present and future investment decisions and engagements which are not covered in this agreement.
    • The Client shall agree to co-operate in comply of SEBI (Investment Adviser) Regulations, 2013 and other applicable regulations.
  • RISK FACTORS. The Client acknowledges and confirms that he/she is aware that all investments involve the risk of adverse or unanticipated market, financial, political, economic, global developments which may lead to fluctuation or deep erosion of values of investments made, which may or may not be pre-determined or determinable at the time of rendering the Investment advisory services by Networth Research and Investment Advisor. The securities market is full of risk and is not suitable for an investor who has a low-risk profile. The details of risk associated with services are defined in Schedule – I
  • MARKET RISK: EVERY INVESTMENT IS SUBJECT TO MARKET RISK AND ANY INVESTMENT MADE BY THE CLIENT CAN ALSO RUN INTO LOSSES AND EVEN BECOME ZERO.
  • FEE STRUCTURE: The description of fee structure is always available on website of NetWorth Research & Investment Advisor. The volume of fee is based on two factors one is services which you choose and another one is tenure of service. NetWorth Research & Investment Advisor will send the separate sheet regarding the fee and product.
  • SETTLEMENT OF DISPUTES AND ARBITRATION PROCESS: In the event of any dispute between the two parties, both parties will follow the following procedure. First, the investment advisor will appoint a professional to understand the subject of the dispute. Once the content of the dispute is known, this professional will always act as a bridge between the investment advisor and the client. The location of arbitration and reconciliation will always be registered in the investment advisor's office. In any dispute, any verbal interaction with the executive will not be part of the settlement process. This agreement will be the memorandum for this process. In the arbitration process, the expenses of any professional will be borne by the investor. The parties will work with each other in good faith and comply with the provisions of the Securities and Exchange Board of India (Investment Advisor) Regulations, 2013 as well as the Arbitration and Reconciliation Act, 1996. The parties submit all their disputes arising out of or in connection with this Agreement or any other issue(s) to the exclusive jurisdiction of the Courts of Indore..
  • GRIEVANCE REDRESSAL TIMELINE: The Investment adviser has complaint grievance redressal mechanism. The client shall follow this process for redressal.
  • SENSITIVITY: The principle of seriousness applies to this agreement, which means that if any part of the contract becomes invalid, due to any court decision or change of an act, regulation, and rule. However, this event will not affect the whole agreement.
  • FORCE MAJOR: The Investment Advisor shall not be liable for delays or errors caused by circumstances beyond his control, including civil or military authorities, national emergencies, work stops, fires, floods, catastrophes, acts, etc. It also includes conditions such as act of God, rebellion, war, riot, or failure of communication or power supply, breakdown of equipment.
  • PAYMENT OF FEE. The Client pays before the services started and from proper banking channel. All type of service is final and No Cash deposited accepted by the Investment adviser. In the condition of amendment or termination, the advance fee will adjust. Detail of fee attached in schedule -II.
  • ADVISOR’S RESPONSIBILITIES AND FUNCTIONS:
    • Investment advisor has qualification and certification as per SEBI (Investment Advisor) Regulations, 2013.
    • Investment Advisor does not provide any distribution and execution services.
    • Investment advisor does not accept the any kind power of attorney or any authorization letter for the implementation of investment advice on behalf of the client.
    • As per process, the client have to complete the risk profiling assessment, the Investment Decisions will be as per your Risk Group applicable and the resultant Asset Allocation will be a function of your Risk Group.
    • Risk assessment report, the basis on which we will select the investment product, and the categories along with the investment product that suits the client's requirement. The risk profile evaluation process is a mandatory process before any engagement between the parties, the risk profile assessment is mandatory to be completed.
    • Advice provided will be based on client’s Investment Objective/s and financial Situation and has reason to believe that Client has reasonable understanding on the Risks associated with the Product or Assets work, Experience & Knowledge and capacity to absorb losses.
  • THE LIABILITY OF INVESTMENT ADVISER: The Investment adviser is not responsible for any liability by reason of any loss, which a client may suffer by reason of any depletion in the value of the assets under advice in following conditions:
    • fluctuation in asset value, or
    • Non-performance or under-performance of the securities/funds or
    • Any other market conditions
  • BINDING AGREEMENT. This Agreement shall constitute a binding Agreement upon acceptance by NetWorth Research & Investment Advisor. This contract is personal, and solely between the Client and NetWorth Research & Investment Advisor
  • INDEMNIFICATION. The Client agrees to indemnify, defend and hold harmless firm, its proprietor, officers, employees, representatives, and any other service providers.
  • GOVERNING LAW AND JURISDICTION. This agreement and any grievance, dispute, query, proceeding or claim of whatever nature arising out of or in any way relating to this agreement and services or its formation, shall be governed by and construed in accordance with the laws of the Securities and Exchange Board of India. The Courts of Indore have jurisdiction of any kind of Grievance, dispute, query, proceeding or claim.
  • PERIOD OF VALIDITY. This engagement agreement shall be initially valid for service period and/or duration mentioned in your Invoice, from the date of signing the agreement and to be renewed subsequently by mutual consent of both the parties.
  • AMENDMENT OF THE AGREEMENT: Amendment of any clause and sub-clause of the agreement is a matter of mutual written consent of the parties. However, no amendment in relation to the provisions of the Regulations will be accepted.
  • TERMINATION OF AGREEMENT: The agreement can be terminated in the following situations:
    • The regulatory body or any governmental authority takes any action against the investment advisor.
    • Suspension or cancellation of registration by SEBI.
    • In case of death of investment advisor. In the event of termination of services, the contract will be terminated automatically, but all the provisions related to the complaint and complaint will remain in force. The client also terminated the agreement with 30 days prior notice in writing, Vice versa.
  • ASSIGNMENT. The client shall not assign, transfer, or in any other manner make over to any to any third party the benefit and/or burden of this agreement without the prior written consent of NetWorth Research & Investment Advisor.
  • DEATH OF CLIENT: In the case of natural and unnatural death of the investor, the M/s Networth Research and Investment Adviser with its proprietress, Employee(s), or connected third party shall not responsible for any manner towards any legal heirs, successor, and representative.
  • PROOF OF INCOME & LIABILITY:

  • If you understand and accept the above terms, Please Provide acceptance by signing the same.


    Date


    Place
    Indore
    Digital SignatureUpload signature


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