Important regulatory information about Kevala Capital's registration, services, and compliance with SEBI regulations.
SEBI REGISTRATION DETAILS Registration Information Legal Name: Kevala CapitalSEBI Registration Number: INA000020420Registration Date: 30/06/2025Registration Category: Investment AdviserRegistration Validity: Permanent (subject to compliance)Registration Limitations Registration with SEBI does not guarantee returns or eliminate investment risks SEBI registration should not be construed as endorsement of the adviser Verify our registration at Permitted Activities We are permitted to provide:
Investment advisory services in securities listed on recognized stock exchanges Financial planning and goal-based investment advice Portfolio review and rebalancing recommendations Risk profiling and asset allocation guidance Research reports and investment analysis Prohibited Activities We are NOT permitted to:
Provide Portfolio Management Services (PMS) unless separately registered Act as distributors or receive commissions from product manufacturers Execute trades on behalf of clients or handle client funds Provide advice on unlisted securities without proper disclosure CODE OF CONDUCT COMPLIANCE SEBI Code of Conduct We adhere to SEBI Code of Conduct principles:
Honesty and Fairness: Act with integrity and fairness in all dealingsDiligence: Exercise due diligence and professional careCapability: Maintain adequate knowledge and capabilityConfidentiality: Protect client information and privacyProfessional Standards: Uphold professional standards of the industryFiduciary Responsibility We act as fiduciaries for our clients We prioritize client interests above our own We disclose and manage conflicts of interest We provide suitable advice based on client risk profile Internal Mechanism Contact IA (Response within 3 working days) Email: jdgunjal@gmail.com Phone: +91 9717001609 Online Dispute Resolution (ODR) If dissatisfied with the outcomes of the SCORES, complaint may be lodged at SEBI SCORES Platform Unresolved complaints may be escalated to:
SEBI SCORES Portal: SEBI Investor Helpline: 1800-266-7575 SEBI Office: PN-C/7, G Block BKC, Bandra Kurla Complex, Bandra East, Mumbai, Maharashtra 400051. Arbitration Disputes shall be referred to arbitration under Arbitration and Conciliation Act, 2015 Venue of arbitration: Pune, India Language of arbitration: English Arbitrator to be appointed by mutual consent or as per Act COMPLIANCE INFRASTRUCTURE Compliance Officer Name: Jayadrath GunjalEmail: jdgunjal@gmail.comPhone: 9717001609Responsibilities: Monitoring compliance, handling complaints, regulatory reportingRisk Management Comprehensive risk management framework Regular internal audits and compliance reviews Employee training on regulatory requirements Cybersecurity and data protection measures Record Keeping Maintenance of records as per SEBI requirements Electronic record keeping with adequate backups Secure storage and access controls Retention periods as per regulatory guidelines We maintain the following policy documents as required by SEBI:
Privacy Policy and Data Protection Policy
Conflict of Interest Policy
Insider Trading Policy
Business Continuity Plan
Cybersecurity Policy
Grievance Redressal Policy
These policies are reviewed annually and updated as needed to comply with regulatory requirements.
We monitor regulatory developments and update our practices accordingly Material regulatory changes are communicated to clients Policies and procedures are reviewed annually or as needed Compliance with new regulations is implemented within stipulated timelines ACKNOWLEDGMENT By proceeding with this investment plan, you acknowledge that you have read, understood, and agree to be bound by all the terms, conditions, disclaimers, and disclosures mentioned in these documents.