PANKAJ BUCKSHEY

Cape of Good Investment Services
[Exemption from registration under Securities and Exchange Board of India (SEBI) as per (Investment Advisers) Regulations, 2020 –Chapter 11, Clause 4. (b), (c), (d), (e), (f), (g), (i) & (j)]
{Irrespective of registration exemption we are following / Pledge as per: SEBI (Investment Advisers) Regulations, 2020}
  • Fulfilling Eligibility Criteria: Clause 6.a, b, c, d, e, f, g, h, & i.
  • Qualification & Certification requirement: Clause 7. (1) (a) & (b) (2). (a) & (b).
  • Capital Adequacy : Clause 8.(1) & (2)
  • General responsibility : Clause 15.(1),(2),(3),(4),(5),(6),(7),(8),(9),(10),(13)
  • Risk Profiling: Clause16.(a),(i),(ii),(iii),(iv),(v) & (vi), (b).(i),(ii) & (iii)(c), (d)(i) &(ii), (e) & (f).
  • Suitability: Clause17.(a),(b),(c),(d)(i),(ii),(iii) & (e)
  • Disclosure: Clause18.(1),(2),(3),(4),(5)(6) & (7)
  • Maintenance of records: Clause 19.(1)(a),(b),(c),(d)(e), (f), (g) (2) & (3)
  • Appointment of Compliance officer: Clause 20
  • Redressal of Client grievances: Clause 21.(1),(2),(3) & (4)
  • Segregation of execution services: Clause 22.(a),(b) & (c)

OUR CODE OF CONDUCT

(THIRD SCHEDULE)
[As per Sub –regulation (9) of regulation 15]
Securities and Exchange Board of India (Investment Adviser) Regulations, 2020
Honesty and fairness
I, & my team shall act honestly, fairly and in the best interests of its clients and in total integrity.
Diligence
I, and my team shall act with due skill, care and diligence in the best interests of its clients and shall ensure that its advice is offered after thorough analysis and taking into account available alternatives.
Capabilities
I, and my team shall have and employ effectively appropriate resources and procedures which are needed for the efficient performance of its business activities.
Information about clients
I, and my team shall seek from its clients, information about their financial situation, investment experience and investment objectives relevant to the services to be provided and maintain confidentiality of such information.
Information to its clients
I, and my team shall make adequate disclosures of relevant material information while dealing with its clients
Fair and reasonable charges
I, and my team advising a client may charge fees on certain products & services, subject to any ceiling as may be specified from time to time if any. I and my team shall ensure that fees charged to the clients is fair and reasonable & proportionate to the work assigned.
Conflicts of interest
I, and my team shall try to avoid conflicts of interest as far as possible and when they cannot be avoided, it shall ensure that appropriate disclosures are made to the clients and that the clients are fairly treated.
Compliance
I, and my team including its representative(s) shall comply with all regulatory requirements applicable to the conduct of its business activities so as to promote the best interests of clients and total integrity.
Responsibility
I, and my team shall bear primary responsibility for ensuring the maintenance of appropriate standards of conduct and adherence to proper procedures.