Preloader
light-dark-switchbtn
Contact Us

SEBI Policy Compliance

Image

At 5 Circles Pvt Ltd, we take compliance and regulatory adherence seriously. As a SEBI-registered investment advisory firm, we operate within the highest ethical and professional standards set by the Securities and Exchange Board of India (SEBI). Our services align with SEBI’s regulations to ensure transparency, investor protection, and ethical financial practices.

Our Commitment to SEBI Compliance

  • SEBI-Registered Advisory Services – We strictly follow SEBI’s guidelines for investment advisory, ensuring all recommendations are backed by thorough research and due diligence.
  • Transparent Fee Structure – We maintain a clear and conflict-free pricing model, avoiding any undisclosed commissions or biased financial advice.
  • Client-Centric Investment Approach – Our investment strategies are designed to suit each client’s risk profile, financial goals, and long-term wealth-building aspirations.
  • Strict Data Privacy & Confidentiality – We adhere to SEBI’s norms for data protection, ensuring client information is securely stored and never misused.
  • Regular SEBI Audits & Reporting – We undergo periodic audits to verify compliance with all regulatory mandates and ethical investment practices.

Key SEBI Compliance Measures We Follow

📌 Registration & Licensing

  • We hold a valid SEBI-registered investment advisor (RIA) license, ensuring all our financial services are legally authorized.
  • All our advisors meet SEBI’s qualification and certification requirements to provide professional guidance.

📌 Fair & Unbiased Investment Advice

  • Our advisory services are free from any external influence, ensuring clients receive genuine, research-backed recommendations.
  • We do not engage in unethical stock promotions or misleading investment claims.

📌 Investor Risk Profiling & Suitability Assessment

  • Before offering financial recommendations, we conduct a detailed risk assessment to understand each client’s financial goals, experience, and risk tolerance.
  • Investment strategies are tailored to match the risk appetite of every investor.

📌 Avoiding Conflict of Interest

  • We do not earn commissions from third-party brokers, ensuring our financial advice remains unbiased and client-focused.
  • Our advisory fees are structured transparently as per SEBI regulations.

📌 Record-Keeping & Compliance Audits

  • We maintain detailed records of investment advice, client risk assessments, and transaction recommendations as per SEBI’s mandatory guidelines.
  • Regular compliance audits and internal checks ensure that all services align with SEBI’s latest updates and regulations.