Compliance Audit

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

Sr. No	Financial Year	Compliance Audit Status	Remarks, If any
1	FY 2020-21	Conducted	No Observations
2	FY 2021-22	Conducted	Two Minor observations, which got rectified as per suggestions of Auditor Observation 1. CKYC registration was under process during the Audit period, Action Taken. Subsequently we got the CKYC registration Observation 2. Some of the requisite information such as office address is partially mentioned in Email Signature panel. Action Taken. Office address has been updated subsequently as suggested by Compliance Auditor
3	FY 2022-23	Conducted	No Observations
4	FY 2023-24	Conducted	One Minor observations, which got rectified as per suggestions of Auditor Observation 1. IA is registered with KRA, Registration for the CKYC got completed in September 2024. IA is fetching the KYC documents from KRA portal Action Taken. We will start verification of KYC of my clients from CKYC as well