Disclosures

01Standard Disclosures

The purpose of this document is to provide important information relating to the Research Services offered by Wealth Shutra Insights Private Limited so that prospective clients and existing clients may make an informed decision before availing such services.

02History, Business Activities and Background

Wealth Shutra Insights Private Limited is registered with the Securities and Exchange Board of India (SEBI) as a Research Analyst under Registration No. ____________. The Company provides research and recommendation services in Index Options and Stock Options in accordance with the provisions of the SEBI (Research Analysts) Regulations, 2014.

03Terms and Conditions of Research Services

• The scope of Research Services is restricted to providing independent research recommendations and related analysis. The Company does not undertake portfolio management, fund management, or portfolio allocation services.
• The Research Analyst does not assure, guarantee, or promise any fixed returns or profits on the recommendations provided. Clients and investors should understand that trading and investment in equities, derivatives, indices, commodities, or other securities are subject to market risks. Historical performance does not indicate or guarantee future performance.
• The Research Analyst shall not be held liable for any financial loss, trading loss, or investment decision taken by the client based on the recommendations or research services provided.

04Disciplinary History

• No penalties, prohibitory orders, or directions have been issued by SEBI under the SEBI Act, Rules, or Regulations against the Research Analyst in relation to Research Analyst activities or services.
• There are no pending material litigations, regulatory proceedings, inspection findings, or investigations initiated or pending against the Research Analyst by any statutory or regulatory authority.

05Details of Associates

The Research Analyst presently does not have any associates.

06Disclosures Relating to Research and Recommendation Services

• The Research Analyst and its directors, employees, or representatives do not trade or deal in securities that are the subject matter of the recommendations issued by the Company.
• There are no existing or anticipated conflicts of interest arising out of any relationship, association, or connection with issuers of securities or products that could affect the independence, fairness, or objectivity of the research services. In the event of any conflict arising in the future, the same shall be appropriately disclosed to the client.
• Neither the Research Analyst nor its employees or associates have received any compensation from the subject company in connection with the recommendations provided.
• Neither the Research Analyst nor its employees or associates have acted as managers or co-managers in any public issue or offering of the subject company.
• Neither the Research Analyst nor its employees or associates have received compensation for investment banking, merchant banking, brokerage, or similar services from the subject company.
• Neither the Research Analyst nor its employees or associates have received any consideration, incentives, or benefits from the subject company for products or services other than those disclosed herein.
• Neither the Research Analyst nor its employees or associates have received any form of compensation or benefit from the subject company or any third party in relation to the preparation or issuance of research reports or recommendations.
• The subject company has not been a client of the Research Analyst or its employees or associates during the twelve months immediately preceding the issuance of the recommendation.
• Neither the Research Analyst nor its employees or associates have served as an officer, director, or employee of the subject company.
• The Research Analyst has not engaged in market-making activities for the subject company.

07Grievance Redressal Process

At Wealth Shutra Insights Private Limited, investor satisfaction and service excellence remain central to our business values and operational approach. We are committed to providing timely, transparent, and efficient support to all investors and clients at every stage of engagement. We believe that maintaining long-term investor relationships requires responsive grievance handling and continuous improvement in the quality of services offered.

Investor complaints, feedback, and suggestions are treated as valuable inputs that help us strengthen our operational standards and service processes. To ensure proper handling of grievances, Wealth Shutra Insights Private Limited has established a structured grievance redressal framework supported by an internal review mechanism aimed at preventing recurrence of similar issues in the future.

The Grievance Redressal Policy is based on the following principles:

• Investors shall be treated fairly, respectfully, and transparently at all times.
• Complaints and grievances raised by investors shall be acknowledged promptly and resolved within a reasonable timeframe.
• Investor concerns and queries shall be handled in a fair, unbiased, and efficient manner.
• Wealth Shutra Insights Private Limited, along with its directors, employees, and representatives, shall always act honestly, responsibly, and in the best interests of investors.

08Grievance Redressal Mechanism

Investor grievances may arise due to communication gaps, misunderstandings, operational delays, lack of adequate clarification, dissatisfaction with service standards, or issues relating to the conduct or response of staff members. To address such concerns effectively, the following grievance handling mechanism has been established.

1. Modes of Lodging Complaints with the Research Analyst

Investors may register their complaints or grievances with the Research Analyst through any of the following modes:

• Written communication
• Oral or telephonic communication
• Email communication

Investors may contact the Research Entity through the following details:

Compliance Contact Number

+91 8828106927

Compliance Email ID

connect@wealthshutra.com

2. Escalation Mechanism

If the investor does not receive a satisfactory response from the Client Servicing Team within seven (07) business days, the matter may be escalated directly to the Research Analyst at the following email address:

Email

connect@wealthshutra.com

Escalated complaints shall ordinarily be reviewed and responded to within seven (07) business days from the date of receipt.

3. SEBI SCORES Platform

Investors may also register their grievances through the SEBI Complaints Redress System (SCORES 2.0), which is a centralized online platform established by SEBI for the effective and time-bound resolution of investor complaints.

The SCORES grievance review framework includes:

• First Level Review by the designated body (RAASB)
• Second Level Review by SEBI

Investors may additionally submit complaints through the designated email address of the concerned RAASB.

4. Online Dispute Resolution (ODR)

If the investor remains dissatisfied with the resolution provided by the Market Participant, the investor may opt for dispute resolution through the SMART ODR platform by initiating online conciliation or arbitration proceedings.

The Online Dispute Resolution Portal for disputes relating to the Indian Securities Market may be accessed through the SMART ODR Portal (https://smartodr.in (opens in a new tab)).

5. Physical Submission of Complaints

Investors may also submit physical complaints at the following address:

Office of Investor Assistance and Education

Securities and Exchange Board of India

SEBI Bhavan, Plot No. C4-A, ‘G’ Block

Bandra-Kurla Complex, Bandra (East)

Mumbai – 400051

Investors are advised to refer to SEBI Circular No. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, relating to the “Online Resolution of Disputes in the Indian Securities Market.”

In case of any query or issue, you may contact us at the details below:

Principal Officer Name

Mr. Valluri Jaya Veera Venkata Ganesh

SEBI Registered Research Analyst

BSE Enlistment No.

Trade Name

Wealth Shutra Insights Private Limited

Compliance Officer Name

Mr. Mohammed Ishaq

Contact Details

+91 8828106927

Helpline

+91 8828106927

Compliance E-mail

connect@wealthshutra.com

For General Query

connect@wealthshutra.com

Office Address

No. 472/7, 3rd Floor, 6 Block AVS Layout, Koramangala, Bengaluru, Bengaluru Urban, Karnataka – 560095

09Standard Warning

“Investment in securities market are subject to market risks. Read all the related documents carefully before investing.”

10Disclaimer

“Registration granted by SEBI, and certification from NISM in no way guarantee performance of the Research Analyst or provide any assurance of returns to investors.”