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. NoFinancial YearCompliance Audit StatusRemarks, If any
1FY 2020-21ConductedNo Observations
2FY 2021-22ConductedTwo 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
3FY 2022-23ConductedNo Observations