Disclosures, Disclaimer and Privacy Policy

We lead, track and help manage seed/angel investments for our clients while aiding investee firms with support to steer them towards maximum growth potential.

Disclosures

Ankhonia Advisors Private Limited (AAPL) may use the services of its sister concern Ankhonia Family Offices Pvt. Ltd. (AFOPL) or any of its associates and/or subsidiaries for execution services in respect of the products or securities for which the investment advice is provided to you. AAPL shall ensure no fee are charged to you for such execution services.

Disclosure with respect to Annual compliance audit requirements under Regulation 19(3) of SECURITIES EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial year as under:

Sl No	Financial Year	Compliance Audit Status	Remarks, if any
1	FY 2020-2021	Conducted
2	FY 2021-2022	Conducted
3	FY 2022-2023	Conducted
4	FY 2023-24	Conducted
5	FY 2024-25	Conducted
6	FY2025-26	Audit shall be completed within the regulated timeline

Investments in the securities market are subject to market risks. Read all the related documents carefully before investing.
Registration granted by SEBI, enlistment as IA with Exchange and certification from NISM in no way guarantee the performance of the intermediary or provide any assurance of returns to investors.

Disclaimer

The information provided is confidential and intended for the addressee only and it is not intended to be relied upon by any person without subsequent written confirmation of its contents. Accordingly, Ankhonia Advisors Pvt. Ltd. (AAPL) disclaim all responsibility and accept no liability (including in negligence) for the consequences of any person acting, or refraining from acting, on such information prior to the receipt by those persons of subsequent written confirmation. If you received this message by mistake, please reply to this message and follow with its deletion. Any form of reproduction, dissemination, copying, disclosure, modification, distribution and/or publication of this e-mail message is strictly prohibited. The views and opinions included in this email belong to their authors and do not necessarily mirror the views of and opinions of the company. In case of any damages or other liabilities arising, employees are fully responsible for the content of their emails. AAPL is an Independent Financial Adviser which can advise on the products of different companies.
This communication has been prepared exclusively for the purpose of information and discussion only and is not, and does not constitute an offer to sell or solicitation of an offer to buy and is not and does not constitute investment advice. This presentation does not contain any direct, indirect and/or deemed offer of any securities to the public as such or otherwise and does not constitute or form part of any offer or invitation to subscribe for, underwrite or purchase securities. The information contained herein is proprietary and for the intended recipient’s internal use only. The recipient is provided the information contained herein on a confidential basis which should not be disclosed to third parties or duplicated or used for any purpose other than the purpose for which it is provided.
Investments in securities are subject to risk including the risk of loss of the initial principal amount invested. Past performance is not indicative of future results. Ankhonia, its directors, employees and agents will not be liable for any direct, indirect, incidental or consequential damages sustained or incurred in connection with the use, operation, or inability to use, or reliance on the information contained in this document. This document is intended to serve only as a general source and shall not be construed as a form of recommendation.
Neither AAPL any of its affiliates has undertaken any regulatory, legal, tax or accounting analysis relating to the suitability of the securities. Recipients should consult their professional tax and accounting advisors for tax or accounting treatment conclusions, prior to acting on the information set forth herein.
Registration granted by SEBI, membership of BASL and certification from NISM in no way guarantee the performance of the intermediary or provide any assurance of returns to investors.

Privacy Policy

The confidentiality of your sensitive personal information is important to us. This privacy policy tells you how Ankhonia Advisors Pvt. Ltd. and its subsidiaries, affiliates, etc (“Ankhonia” or “AAPL”) uses personal information collected by it. Please read this privacy policy before using Ankhonia’s website or submitting any sensitive personal information or data. By using our website or upon signing Ankhonia’s Client Questionnaire, you are accepting this privacy policy. The privacy policy may be revised from time to time and the updated policy will be posted on our website. You are advised to review the privacy policy whenever you visit this website so that you understand how any personal information you provide may be used.

AAPL, its officers, employees and agents collect information (which can include sensitive personal information) to assist us in our relationship with you. If you are unable to provide the information we need we may not be able to provide you with the service you have requested. We may also be required by law to collect information. The types of information collected can include:
- Personal identity information such as postal address, email address, etc
- Information which relates to your financial affairs, business, employment, income or assets
- Information which arises or is required in connection with the transactions you do with AAPL or through AAPL
- Information which helps AAPL process applications made by you for particular products and services
- Information relevant for product marketing
- Information from Brokerage Agreements, Managed Account Agreements and other Subscription and Account Opening Documents;
- Information in the course of establishing a customer relationship including, but not limited to, applications, forms, and questionnaires;
- Information about your transactions with AAPL or others

AAPL will not disclose your personal information, except in the following circumstances
- Required to do so by law, any Government authority, any court order, decree or award,
- Trying to protect against or prevent actual or potential fraud or unauthorized transactions,
- Investigating fraud which has already taken place, or
- Required to do so to market intermediaries, agents, product developers in relation to investments made by you.

Your personal information is kept secure. We comply with the relevant security principles set out in the applicable privacy laws of India. We are not bound by privacy laws of any jurisdiction other than India. Only employees of AAPL, its authorised agents and advisors (who are contractually bound to maintain confidentiality in relation to the information) and market intermediaries and product developers with respect to investments made by you will have access to this information.

Our commitment to confidentiality begins even before a mandate is signed. Whether you choose to employ our services or not, we maintain strict confidentiality of all your information. A confidentiality agreement is provided to prospective clients assuring them that no information will be shared outside of Ankhonia.

In case of any complaints/grievances/disputes, please contact our Compliance Officer:
- Mrs. Rashmi Srivastava
- Email: grievances@ankhonia.com
- Postal Address: #3, Banaswadi Road, Cooke Town, Bangalore – 560005

Investor Charter In Respect Of Investment Adviser

A. Vision and Mission Statements for Investors

Vision

Invest with knowledge & safety.

Mission

Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

B. Details of business transacted by the Investment Adviser with respect to the investors

• To enter into an agreement with the client providing all details including fee details, aspects of
Conflict of interest disclosure and maintaining confidentiality of information.

• To do a proper and unbiased risk – profiling and suitability assessment of the client.
• To conduct audit annually.
• To disclose the status of complaints on its website.
• To disclose the name, proprietor name, type of registration, registration number, validity, complete
address with telephone numbers and associated SEBI Office details (i.e. Head office/ regional/ local
Office) on its website.
• To employ only qualified and certified employees.
• To deal with clients only from official number
• To maintain records of interactions, with all clients including prospective clients (prior to
onboarding), where any conversation related to advice has taken place.
• To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for
Investment Advisers
• Not to discriminate in terms of services provided, among clients opting for same/similar
products/services offered by investment adviser.

C. Details of services provided to investors (No Indicative Timelines)

Onboarding of Clients
Sharing of agreement copy
Completing KYC of clients
Disclosure to Clients
To provide full disclosure about its business, affiliations, compensation in the agreement.
To not access client’s accounts or holdings for offering advice.
To disclose the risk profile to the client.
To disclose any conflict of interest of the investment advisory activities with any other activities of the investment adviser.
To disclose the extent of use of Artificial Intelligence tools in providing investment advisory services.
To provide investment advice to the client based on the risk-profiling of the clients and suitability of the client.
To treat all advisory clients with honesty and integrity.
To make adequate disclosure to the investor of all material facts such as risks, obligations, costs, etc. relating to the products or securities advised by the adviser.
To provide clear guidance and adequate caution notice to clients when providing investment advice for dealing in complex and high-risk financial products/services.
To ensure confidentiality of information shared by clients unless such information is required to be provided in furtherance of discharging legal obligations or a client has provided specific consent to share such information.
To disclose the timelines for the various services provided by the investment adviser to clients and ensure adherence to the said timelines

D. Details of grievance redressal mechanism and how to access it

Investor can lodge complaint/grievance against Investment Adviser in the following ways:

Mode of filing the complaint with investment adviser

In case of any grievance / complaint, an investor may approach the concerned Investment Adviser who shall strive to redress the grievance immediately, but not later than 21 days of the receipt of the grievance.

Mode of filing the complaint on SCORES or with Investment Adviser Administration and
Supervisory Body (IAASB)

i. SCORES 2.0 (a web based centralized grievance redressal system of SEBI for facilitating effective grievance redressal in time-bound manner) (https://scores.sebi.gov.in)

Two level review for complaint/grievance against investment adviser:
• First review done by designated body (IAASB)
• Second review done by SEBI

ii. Email to designated email ID of IAASB

2. If the Investor is not satisfied with the resolution provided by the Market Participants, then the Investor has the option to file the complaint/ grievance on SMARTODR platform for its resolution through online conciliation or arbitration.

3. With regard to physical complaints, investors may send their complaints to:

Office of Investor Assistance and Education, Securities and Exchange Board of India,
SEBI Bhavan, Plot No. C4-A, ‘G’ Block,
Bandra-Kurla Complex, Bandra (E),
Mumbai – 400 051

See below the Client Level Segregation Certificate:

Client Level Segregation Certificate

E. Rights of investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to receive information about all the statutory and regulatory disclosures.
Right to Fair & True Advertisement
Right to Awareness about Service Parameters and Turnaround Times
Right to be informed of the timelines for each service
Right to be Heard and Satisfactory Grievance Redressal
Right to have timely redressal
Right to Suitability of the Financial Products
Right to Exit from Financial product or service in accordance with the terms of agreement with the investment adviser
Right to receive clear guidance and caution notice when dealing in Complex and High-Risk Financial Products and Services
Additional Rights to vulnerable consumers
Right to get access to services in a suitable manner even if differently abled
Right to provide feedback on the financial products and services used
Right against coercive, unfair, and one-sided clauses in financial agreements

F. Expectations from the investors (Responsibilities of investors):

• Do’s
i. Always deal with SEBI registered Investment Advisers.
ii. Ensure that the Investment Adviser has a valid registration certificate.
iii. Check for SEBI registration number.
Please refer to the list of all SEBI registered Investment Advisers which is available on SEBI website in
the following link:
(https://www.sebi.gov.in/sebiweb/other/OtherAction.do?doRecognisedFpi=yes&intmId=13)
iv. Pay only advisory fees to your Investment Adviser. Make payments of advisory fees through banking channels only and maintain duly signed receipts mentioning the details of your payments. You may make payment of advisory fees through Centralised Fee Collection Mechanism (CeFCoM) of IAASB if investment adviser has opted for the mechanism.
v. Always ask for your risk profiling before accepting investment advice. Insist that Investment Adviser provides advisory strictly on the basis of your risk profiling and take into account available investment alternatives.
vi. Ask all relevant questions and clear your doubts with your Investment Adviser before acting on advice.
vii. Assess the risk–return profile of the investment as well as the liquidity and safety aspects before making investments.
viii. Insist on getting the terms and conditions in writing duly signed and stamped. Read these terms and conditions carefully particularly regarding advisory fees, advisory plans, category of recommendations etc. before dealing with any Investment Adviser.
ix. Be vigilant in your transactions.
x. Approach the appropriate authorities for redressal of your doubts / grievances.
xi. Inform SEBI about Investment Advisers offering assured or guaranteed returns.
xii. Always be aware that you have the right to exit the service of an Investment Adviser
xiii. Always be aware that you have the right to seek clarifications and clear guidance on advice
xiv. Always be aware that you have the right to provide feedback to the Investment Adviser in respect of services received.
xv. Always be aware that you will not be bound by any clause, prescribed by the investment adviser, which is contravening any regulatory provisions.

• Don’ts

i. Don’t fall for stock tips offered under the pretext of investment advice.
ii. Do not provide funds for investment to the Investment Adviser.

iii. Don’t fall for the promise of indicative or exorbitant or assured returns by the Investment
Advisers. Don’t let greed overcome rational investment decisions.
iv. Don’t fall prey to luring advertisements or market rumors.
v. Avoid doing transactions only on the basis of phone calls or messages from any Investment adviser
or its representatives.
vi. Don’t take decisions just because of repeated messages and calls by Investment Advisers.
vii. Do not fall prey to limited period discount or other incentive, gifts, etc. offered by Investment
advisers.
viii. Don’t rush into making investments that do not match your risk taking appetite and investment
goals.
ix. Do not share login credential and password of your trading, demat or bank accounts with the
Investment Adviser.

Redressal Of Client Grievances:

A complaint shall first be directly lodged with the Investment Advisor in writing, orally or telephonically at any of the following:

Address: #3, Banaswadi Road, Cooke Town, Bangalore – 560005
Email ID: grievances@ankhonia.com
Tel. No: 080-25470653

Any Dispute shall be redressed by the Investment Adviser within 21 (Twenty-one) calendar days from the date of receipt of the complaint. Alternatively, investor may also use SCORES (https://scores.sebi.gov.in/) to submit the complaint or grievance directly to the Investment Adviser for resolution.

Our UPI Details:

In line with the latest SEBI circular dated June 11, 2025, Ankhonia Advisors Pvt. Ltd. has adopted the new standardised, validated, and exclusive UPI ID mechanism for receiving payments. This initiative aims to enhance the security, transparency, and trust in financial transactions within the securities market..

We have a validated UPI ID for payment:

Ankhonia.ia@validhdfc

You can also make payments by scanning our official QR code, which includes a white thumbs-up icon inside a green triangle – a mark of authenticity:

Please read the FAQs here: UPI – Investor FAQs

Details of Designation	Contact Person Name	Address where the physical address location	Contact No.	Email-ID	Working hours when the complainant can call
Customer Care	Rashmi Srivastava	#3, Banaswadi Road, Cooke Town, Bangalore – 560005	080-25470653	grievances@ankhonia.com	10:00 AM to 6:00 PM
Head of Customer Care	Rashmi Srivastava	#3, Banaswadi Road, Cooke Town, Bangalore – 560005	080-25470653	grievances@ankhonia.com	10:00 AM to 6:00 PM
Compliance Officer	Rashmi Srivastava	#3, Banaswadi Road, Cooke Town, Bangalore – 560005	080-25470653	mukesh@ankhonia.com	10:00 AM to 6:00 PM
CEO	Mr. Mukesh Kumar Sinha	#3, Banaswadi Road, Cooke Town, Bangalore – 560005	+91 9535500700	mukesh@ankhonia.com	10:00 AM to 6:00 PM
Principal Officer	Mr. Mukesh Kumar Sinha	#3, Banaswadi Road, Cooke Town, Bangalore – 560005	+91 9535500700	mukesh@ankhonia.com	10:00 AM to 6:00 PM

Complaints Data

Data for the month ending – July 2026

Sr. No.	Received from	Pending at the end of Last month	Received	Resolved*	Total Pending#	Pending complaints > 3 months	Average Resolution time^ (in days)
1	Directly from Investors	0	0	0	0	0	NA
2	SEBI (SCORES)	0	0	0	0	0	NA
3	Other Sources (if any)	0	0	0	0	0	NA
	Grand Total	0	0	0	0	0	NA

* Average Resolution time is the sum total of time taken to resolve each complaint in days, in the current month divided by the total number of complaints resolved in the current month.

Trend of annual disposal of complaints

Sr. No.	Year	Carried forward from previous year	Received	Resolved*	Pending #
1	2020-21	0	0	0	0
2	2021-22	0	0	0	0
3	2022-23	0	0	0	0
4	2023-24	0	0	0	0
5	2024-25	0	0	0	0
6	2025-26	0	0	0	0
	Grand Total	0	0	0	0

*Inclusive of complaints of previous years resolved in the current year.

*Inclusive of complaints pending as on the last day of the year

Trend of monthly disposal of complaints

Sl. No.	Month	Carried forward from previous month	Received	Resolved*	Pending#
1	April, 2026	0	0	0	0
2	May, 2026	0	0	0	0
3	June, 2026	0	0	0	0
4	July,2026	0	0	0	0
	Grand Total	0	0	0	0

*Inclusive of complaints of previous months resolved in the current month.

*Inclusive of complaints pending as on the last day of the month.

Disclosures, Disclaimer and Privacy Policy

Disclaimer

Privacy Policy

Investor Charter In Respect Of Investment Adviser

Trend of monthly disposal of complaints

Principal Officer

SEBI Regional Office

Locations

Get Directions

Status of Complaints