RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006)
BSE ENLISTMENT NO.-5695
SEBI Registered Research Analyst No. INH000011006
CONTACT – +91 9352399098
Email –vardhanharsh548@gmail.com
CLIENT SERVICE AGREEMENT
This Research Analyst Services Agreement (the “Agreement”) between Client and RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006), a registered research analyst with SEBI Registration No. INH000011006.
Registered Office – A-B 2ND FLOOR, NIRMAL TOWER, 1ST CHOPASNI ROAD, JODHPUR, RAJASTHAN, 342001
Correspondence Address – A-B 2ND FLOOR, NIRMAL TOWER, 1ST CHOPASNI ROAD, JODHPUR, RAJASTHAN, 342001
Principle Place of Business -A-B 2ND FLOOR, NIRMAL TOWER, 1ST CHOPASNI ROAD, JODHPUR, RAJASTHAN, 342001 (hereinafter referred to as the “Research Analyst” which expression shall unless excluded by or repugnant to the context, be deemed to include its administrators and permitted assigns) of the First Part
And
Client (hereinafter referred to as the “Client ” which expression shall unless it be repugnant to the context or be deemed to mean and include, its administrators & permitted assigns) of the SECOND PART;
Both Research Analyst and the Client shall also hereinafter individually refer to as Party & collectively as Parties. Whereas the CLIENT is desirous of availing the stock/futures and options/commodities recommendation services in respect of the research analysis of the financial products from the Research Analyst on the terms & conditions as described hereinafter.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (BRAND NAME/TRADE NAME STOCK OCEAN) – CLIENT SERVICE AGREEMENT
AGREEMENT
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006), SEBI Registered Research Analyst No. INH000011006
SERVICE AGREEMENT
THIS RESEARCH ANALYST SERVICES AGREEMENT (the “Agreement”) BETWEEN Client and RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006), a registered research analyst with SEBI Registration No. INH000011006
Registered Office –A-B 2ND FLOOR, NIRMAL TOWER, 1ST CHOPASNI ROAD, JODHPUR, RAJASTHAN, 342001
Principle Place of Business – A-B 2ND FLOOR, NIRMAL TOWER, 1ST CHOPASNI ROAD, JODHPUR, RAJASTHAN, 342001 (hereinafter referred to as the “RESEARCH ANALYST” which expression shall unless excluded by or repugnant to the context, be deemed to include its administrators and permitted assigns) of the FIRST PART And Client (hereinafter referred to as the “CLIENT ” which expression shall unless it be repugnant to the context or be deemed to mean and include, its administrators & permitted assigns) of the SECOND PART;
Both RESEARCH ANALYST and the CLIENT shall also hereinafter individually refer to as Party & collectively as Parties. Whereas the CLIENT is desirous of availing the STOCKS/COMMODITIES/DERIVATIVES recommendation services in respect of the research analysis of the financial products from the Research Analyst on the terms & conditions as described hereinafter.
APPOINTMENT OF THE RESEARCH ANALYST
In accordance with the applicable laws, the client hereby appoints, entirely at his / her / its risk, the Research Analyst to provide the required services in accordance with the terms and conditions of the agreement as mandated under SEBI/HO/MIRSD/-POD-2/P/CIR/2023/90 (Research Analyst) Regulations, 2014.
CONSENT OF THE CLIENT
“I / We have read and understood the terms and conditions of Financial Products Such as (Equity, Derivatives, Commodities) services provided by the Research Analyst, Disclosure document along with the fee structure and mechanism for charging and payment of a fee.” “Based on our written request to the Research Analyst, an opportunity was provided by the Research Analyst to ask questions and interact with ‘person(s) associated with the investment Recommendations”.
DECLARATION FROM THE RESEARCH ANALYST
Research Analyst shall neither render any stock recommendations nor charge any fee until the client has signed this agreement.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) does not give recommendations in Mutual Fund AMFI (ARN-260923)(E488237) And Insurance Sector (GC CODE HCG231056191201) to avoid interest of conflict.
We declare that we will keep clients of Research Analyst separate from Mutual Fund and Insurance.
If agreed by the client, Research Analyst may charge fees in advance.
Segregation of Recommendation and Distribution Clients: RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) is an Individual Research Analyst. As per SEBI Regulations, “The same client cannot be offered both Recommendation/advisory and distribution services within the group of the individual entity. A client can either be an research recommendation/advisory client where no distributor consideration is received at the group level or distribution services client where no advisory/ research recommendation fee is collected from the client at the group level.” To ensure compliance with this regulation, the Entity, has an appropriate mechanism in place.
Information present in the material prepared by the entity shall not be considered as a recommendation or solicitation of an investment. Investors are responsible for their investment decisions and are responsible to validate all the information used to make the investment decision. Investor should understand that his/her investment decision is based on personal investment needs and risk tolerance, and information present in the material prepared by the company and on the website of the company is one among many other things that should be considered while making an investment decision. Investments in securities market are subject to market risks. Read all the related documents carefully before investing.
The Client shall provide all required documentation required by HARSH VARDHAN (“Research Analyst”) is registered with SEBI as Research Analyst with Registration No. INH000011006.in relation to the Know Your Client (KYC) and Anti Money Laundering related guidelines as required by SEBI from time to time. Further, the Client shall also provide with any documentation as required by HARSH VARDHAN (“Research Analyst”) is registered with SEBI as Research Analyst with Registration No. INH000011006.for these purposes from time to time.
Information present in the material prepared by the RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) shall not be considered as a recommendation or solicitation of an investment. Investors are responsible for their investment decisions and are responsible to validate all the information used to make the investment decision. Investor should understand that his/her investment decision is based on personal investment needs and risk tolerance, and information present in the material prepared by the company and on the website of the RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) i.e., www.stockocean.co.in is one among many other things that should be considered while making an investment decision.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) is only on 2 (TWO) Social Media plaforms i.e, Instagram (stockocean.co.in) and have only 1 website that is www.stockocean.co.in, apart from this I disclaim all other social media platform which represent RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006)
Report to Cyber Crime at https://cybercrime.gov.in/ if you found any other social media running as Stock Ocean which represents RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006)
The Research Analyst shall not manage funds and securities on behalf of the client, and it shall only receive such sums of money from the client as are necessary to discharge the client’s liability towards fees owed to the Research Analyst.
Research Analyst shall not, in the course of performing its services to the client, hold out any investment Recommendations implying any assured returns or minimum returns or target return or percentage accuracy or service provision till achievement of target returns or any other nomenclature that gives the impression to the client that the stock recommendations is risk-free and/or not susceptible to market risks and or that it can generate returns with any level of assurance.
Research Analyst shall charge fees from a client under any one mode i.e. on a Monthly basis, Quarterly, Half-Yearly or annual basis. The change of mode shall be affected only after 12 months of onboarding/last change of mode.
If agreed by the client, Research Analyst may charge fees in advance. However, such an advance shall not exceed fees for 2 quarters or Subject to Client Discretion.
In the event of premature termination of the Research Analyst services in terms of the agreement, the client shall be refunded the fees for the unexpired period.
However, Research Analyst may retain a maximum breakage fee of not greater than a one-quarter fee. Research Analysis Services holds its fee structure as per service delivered.
FEES APPLICABLE TO THE CLIENT AND BILLING
Details of Fees to be charged are the following:
Product / Service subscribed: Product/ Service Subscribed Index Option Number of Calls 01-02 Calls per day Type Intraday/Delivery Via WhatsApp Braodcast
The quantum and manner of payment of fees for investment Recommendations rendered. Amount (Quantum) Mode of Payment(In Words of Rupees Rupees Only) NEFT/ RTGS/IMPS/UPI
Fee modalities and periodicity, by attaching a detailed fee schedule to the agreement; Fees accepted strictly by account payee crossed cheques / demand draft or by way of direct credit into my bank account through NEFT/ RTGS/IMPS/UPI.
Fees accepted strictly by account payee crossed cheques / demand draft or by way of direct credit into my bank account through NEFT/ RTGS/IMPS/UPI.
Cash deposits are not accepted for any of the service provided.
The payment of fees shall be through any mode which shows traceability of funds. Such modes may include account payee crossed cheque/ Demand Drafts or by way of direct credit to the bank accounts through NEFT/ RTGS/ IMPS/ UPI or any other mode specified by SEBI from time to time.
Illustration(s) on how the fee will be determined; 1. Fixed fee mode based on selected product
Whether payment to be made in advance; 1. Fees are payable in advance at the time of onboarding, in case the product is having a validity of fewer than 6 months. 2. Fees of two-quarters payable in advance at the time of onboarding, in case the product is having a validity of more than 6 months, the next payment will fall due on completion of 6 months
type of documents evidencing receipt of payment of fee; -Payment Receipt.
EXAMPLE- Periodicity of billing with clear date and service period. S. No. Periodicity of billing with clear date Service Package Service Period 1 10th May 2024 Index Option ;; Days The payment of fees shall be through any mode which shows traceability of funds.
Such modes may include account payee crossed cheque/ Demand Drafts or by way of direct credit to the bank accounts through NEFT/ RTGS/ IMPS/ UPI or any other mode specified by SEBI from time to time.
However, the fees shall not be in cash. Research Analyst shall receive fee by giving recommendations in equity, derivatives and commodities in bank account associated with RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) from the client only and not from any person other than the client being Recommended, in respect of the underlying securities or investment products for which the Recommendations is or to be provided.
SCOPE OF SERVICE
A research analyst studies companies and industries, analyses raw data, and makes forecasts or recommendations about whether to buy, hold or sell securities. Research Analyst analyses information to provide recommendations about investments in securities to the clients.
Research Analyst may provide some or all the following services to the Client:
Assist in assessing the risk profile. Develop investment recommendations based on goals & risk profile and assist in implementing these recommendations. Provide recommendations with respect to the investment in equity and commodities and other financial assets excluding Mutual Funds and Insurance, as needed, and assist in implementing recommendations. Provide recommendations in any other areas of financial products in which research analyst or Client identifies a need.
DUTIES & FUNCTIONS OF THE RESEARCH ANALYST
Research Analyst shall provide Recommendations Services on FINANCIAL PRODUCTS to the Client during the term of this Agreement on investment in all financial/investment products except Mutual Funds and Insurance under all regulated authorities as is permitted under applicable laws and regulations governing research analyst & the financial industry. The services rendered by the research analyst are non-binding, non-recourse advisory in nature and the final decision on the type of instruments; the proportion of exposure and tenure of the investments shall be taken by the Client at its discretion.
The Research Analyst shall act in a fiduciary capacity as one of the Analyst to the Client will be providing all back-end support services. The Research Analyst shall act in a bonafide manner for the benefit and the interest of the Client. The Research Analyst shall be in compliance with the SEBI (Research Analyst) Regulations, 2014 and its amendments, rules, circulars, and notifications.
The RESEARCH ANALYST shall be in compliance with the eligibility criteria as specified under the RESEARCH ANALYST Regulations at all times. Pursuant to the SEBI (RESEARCH ANALYST) REGULATIONS, 2014 guidelines with respect to Risk Profiling and Suitability Assessment, RESEARCH ANALYST shall conduct proper risk profiling and risk assessment for each of the clients. As per risk analysis, risk capacity, risk aversion & client requirement, the RESEARCH ANALYST needs to ensure that correct product/service as per client risk tolerance capacity is being offered, which is suitable for client. RESEARCH ANALYST shall provide reports to clients on potential and current investments if requested.
RESEARCH ANALYST shall maintain client-wise KYC, Recommendations, risk assessment, analysis reports of investment Recommendations and suitability, terms and conditions document, rationale of Recommendations, related books of accounts and a register containing list of clients along with dated investment Recommendations in compliance with the SEBI (RESEARCH ANALYST) Regulations, 2014. RESEARCH ANALYST shall get annual compliance audit conducted as per the SEBI (RESEARCH ANALYST) Regulations, 2014.
RESEARCH ANALYST undertakes to abide by the Code of Conduct as specified in the Third Schedule of the SEBI (RESEARCH ANALYST) Regulations, 2014.
RESEARCH ANALYST shall not receive any consideration in any form, if the client desires to avail the services of intermediary recommended by RESEARCH ANALYST.
Research Analyst shall provide Recommendations Services on FINANCIAL PRODUCTS to the Client during the term of this Agreement on investment in all financial/investment products except Mutual Funds and Insurance under all regulated authorities as is permitted under applicable laws and regulations governing research analyst & the financial industry. The services rendered by the research analyst are non-binding, non-recourse advisory in nature and the final decision on the type of instruments; the proportion of exposure and tenure of the investments shall be taken by the Client at its discretion.
The Research Analyst shall act in a fiduciary capacity as one of the Analyst to the Client will be providing all back-end support services. The Research Analyst shall act in a bonafide manner for the benefit and the interest of the Client. The Research Analyst shall be in compliance with the SEBI (Research Analyst) Regulations, 2014 and its amendments, rules, circulars, and notifications.
The Research Analyst shall be in compliance with the eligibility criteria as specified under the Research Analyst Regulations at all times.
Research Analyst shall maintain client-wise KYC, Recommendations, analysis reports of investment Recommendations, terms and conditions document, rationale of Recommendations, related books of accounts and a register containing list of clients along with dated investment Recommendations in compliance with the SEBI (Research Analyst) Regulations, 2014.
Research Analyst shall get annual compliance audit conducted as per the SEBI (Research Analyst) Regulations, 2014.
Research Analyst undertakes to abide by the Code of Conduct as specified in the Third Schedule of the SEBI (Research Analyst) Regulations, 2014.
Research Analyst shall not receive any consideration in any form, if the client desires to avail the services of intermediary recommended by Research Analyst.
INVESTMENT OBJECTIVE AND GUIDELINES
Research Analyst (RA) would provide recommendations with respect to investment in equity & derivatives & commodities.
RESEARCH ANALYST undertakes to recommend direct implementation of Recommendations i.e. Demat Accounts or as the case may be. RESEARCH ANALYST may provide recommendations based on the risk profiling conducted for the client, total budgeted investment amount of the client and time period for deployment as informed by the client.
RESEARCH ANALYST shall communicate the tax related aspects pertaining to recommendations and as applicable on the RESEARCH ANALYST fee, if any.
RISK FACTORS
Investments in securities are subject to market risks and there is no assurance or guarantee that the objective of the investments will be achieved; Past performance of the Research Analyst does not indicate its future performance. The performance of the investments/products may be affected by changes in Government policies, general levels of interest rates and risks associated with trading volumes, liquidity and settlement systems in equity and debt markets. Investments in the products which the Clients have opted are subject to wide range of risks which inter alia also include but not limited to economic slowdown, volatility & illiquidity of the stocks, poor corporate performance, economic policies, changes of Government and its policies, acts of God, acts of war, civil disturbance, sovereign action and /or such other acts/ circumstance beyond the control of Research Analyst or any of its Associates. The names of the products/nature of investments do not in any manner indicate their prospects or returns.
The performance in equity may be adversely affected by the performance of individual companies, changes in the market place and industry specific and macro-economic factors.
Investments in debt instruments and other fixed income securities are subject to default risk, liquidity risk and interest rate risk. Interest rate risk results from changes in demand and supply for money and other macroeconomic factors and creates price changes in the value of the debt instruments.
Under NO Conditions the Research Analyst OR any member associated with the Firm can be held personally or cumulatively responsible for any financial loss directly or indirectly incurred in the stock market.
The Research Analyst has the responsibility to give the best research and recommendations with the intention of generating returns to the client subject to inherent risk of the stock market.
There is no assurance or guarantee of returns or capital safety of the client due to unavoidable market volatility or unpredictable high irrational moves.
The client accepts the nature of business risk and capital risk involved in the stock market & cannot held responsible to RA OR it’s Employees of the firm for any unprecedent loss of returns or capital involved in trading & Investment Activities.
VALIDITY OF RECOMMENDATION SERVICES
The validity of this agreement starts from the date of signing and will continue to be in force till any of the parties terminate it by giving 1 months’ notice period or as per tenure mentioned & agreed upon.
TERMINATION
This Agreement may be terminated under the following circumstances, namely
IMPLICATIONS OF AMENDMENTS AND TERMINATION
Notwithstanding any such termination, all rights, liabilities and obligations of the parties arising out of or in respect of transactions entered into prior to the termination of this relationship shall continue to subsist and vest in/be binding on the respective parties or his/its respective heirs, executors, administrators, legal representatives or successors, as the case may be; In case the clients are not satisfied with the services being provided by the RESEARCH ANALYST and want to terminate/ stop Investment recommendations services or the RESEARCH ANALYST is unable to provide services, either party shall have a right to terminate SERVICES AND business relationship at any time subject to refund of fee after deducting one quarters fee & taxes in case termination is initiated by the clients and refund of the proportionate post Gst of recommendation fee in case termination is initiated by RESEARCH ANALYST. The RESEARCH ANALYST would transition support, if requested, to the client in the event of termination.
RELATIONSHIP WITH RELATED PARTIES:
Research Analyst is carrying on its activities independently, at an arms-length basis from all other activities RESEARCH ANALYST does not have any conflict of interest of the stock recommendation activities with its relationship with related parties, such conflict of interest shall be disclosed to the client as and when they arise.
Research Analyst ENGAGED IN OTHER ACTIVITIES RESEARCH ANALYST maintains an arms-length relationship between its activities as an RESEARCH ANALYST and other activities and shall ensure that this arm’s length relationship would be maintained throughout the tenure of service. RESEARCH ANALYST shall not provide any distribution services.
Family of an individual RESEARCH ANALYST shall not provide distribution services to the client Recommended by the RESEARCH ANALYST, for securities and investment products. RESEARCH ANALYST shall not provide investment advisory services, for securities and investment products, to a client who is receiving distribution services from other family members.
Research Analyst is carrying on its activities independently, at an arms-length basis from all other activities Research Analyst does not have any conflict of interest of the stock recommendation activities with its relationship with related parties, such conflict of interest shall be disclosed to the client as and when they arise.
Research Analyst engaged in other activities research analyst maintains an arms-length relationship between its activities as a Research Analyst and other activities and shall ensure that this arm’s length relationship would be maintained throughout the tenure of service. Research Analyst shall not provide any distribution services.
Family of the Research Analyst shall not provide distribution services to the client recommended by the research analyst, for securities and investment products.
REPRESENTATION TO CLIENT RESEARCH ANALYST
Research Analyst Shall ensure that it will take all consents and permissions from the client prior to undertaking any actions in relation to the securities or investment product Recommended by the RESEARCH ANALYST.
NO RIGHT TO SEEK POWER OF ATTORNEY
The RESEARCH ANALYST shall not seek any power of attorney or authorizations from its clients for implementation of RECOMMENDATIONS.
NO CONFLICT-OF-INTEREST
RESEARCH ANALYST does not have any conflict of interest of the any recommendation activities, such conflict of interest shall be disclosed to the client as and when they arise. RESEARCH ANALYST shall not derive any direct or indirect benefit out of the client’s securities/investment products.
Research Analyst does not have any conflict of interest of the any recommendation activities, such conflict of interest shall be disclosed to the client as and when they arise.
Research Analyst shall not derive any direct or indirect benefit out of the client’s securities/investment products
MAINTENANCE OF ACCOUNTS AND CONFIDENTIALITY RESEARCH ANALYST –
Research Analyst shall be responsible for maintenance of client accounts and data as mandated under the SEBI (RESEARCH ANALYST ) Regulations, 2014. RESEARCH ANALYST shall not divulge any confidential information about its client, which has come to its knowledge, without taking prior permission of its client, except where such disclosures are required to be made in compliance with any law for the time being in force.
LIABILITY OF RESEARCH ANALYST
Research Analyst shall not incur any personal or cumulative liability by reason of any loss, which a client may suffer by reason or any depletion in the value of the assets under Recommendations, which may result by reason of fluctuation in asset value, or by reason of non-performance or under-performance of the securities/funds or any other market conditions.
REPRESENTATIONS AND COVENANTS
Research Analyst – RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006),
Email id – vardhanharsh548@gmail.com
Certification & Qualification MBA (Finance)., NISM-XV RESEARCH ANALYST Certification is RESEARCH ANALYST registered with SEBI as RESEARCH ANALYST with Registration No. INH000011006.
SETTLEMENT OF DISPUTES AND PROVISION FOR ARBITRATION
No suit, prosecution or another legal proceeding shall lie against the RESEARCH ANALYST for any damage caused or likely to be caused by anything which is done in good faith or intended to be done under the provisions of the Securities and Exchange Board of India (RESEARCH ANALYST ) Regulations, 2014.
This Agreement is subject to the rules and regulations as are or may be framed/ issued by the Central Government, the Reserve Bank of India (RBI), SEBI, and/or any other competent authority, from time to time. All disputes, differences, claims, and questions whatsoever arising from this Agreement between the Client and RESEARCH ANALYST and/or their respective representatives touching these presents shall be in accordance with and subject to the provisions of The Arbitration and Conciliation Act, 1996, or any statutory modification or re-enactment thereof for the time being in force. Such arbitration proceedings shall be held at Indore and the language of the arbitration will be English.
No suit, prosecution or another legal proceeding shall lie against the Research Analyst for any damage caused or likely to be caused by anything which is done in good faith or intended to be done under the provisions of the Securities and Exchange Board of India (Research Analyst) Regulations, 2014.
This Agreement is subject to the rules and regulations as are or may be framed/ issued by the Central Government, the Reserve Bank of India (RBI), SEBI, and/or any other competent authority, from time to time. All disputes, differences, claims, and questions whatsoever arising from this Agreement between the Client and Research Analyst and/or their respective representatives touching these presents shall be in accordance with and subject to the provisions of The Arbitration and Conciliation Act, 1996, or any statutory modification or re-enactment thereof for the time being in force. Such arbitration proceedings shall be held at Jaipur and the language of the arbitration will be English.
Both parties agree to undertake online conciliation and/or online arbitration by participating in the ODR Portal and/or undertaking dispute resolution in the manner specified in the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”.
ADHERENCE TO GRIEVANCE REDRESSAL TIMELINES RESEARCH ANALYST
Research Analyst shall be responsible for resolving the grievances within the timelines specified under SEBI circulars i.e. 21 calendar days.
SEVERABILITY
If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule, or otherwise, the remainder of this Agreement shall not be affected thereby.
FORCE MAJEURE
The RESEARCH ANALYST shall not be liable for delays or errors occurring by reason of circumstances beyond its control, including but not limited to acts of civil or military authority, national emergencies, work stoppages, fire, flood, catastrophe, acts of God, insurrection, war, riot, or failure of communication or power supply. In the event of equipment breakdowns beyond its control, the RESEARCH ANALYST shall take reasonable steps to minimize service interruptions but shall have no liability with respect thereto.
MISCELLANEOUS
Both parties agree to undertake online conciliation and/or online arbitration by participating in the ODR Portal and/or undertaking dispute resolution in the manner specified in the SEBI circular no. SEBI/HO/OIAE/OIAE_IAD-1/P/CIR/2023/131 dated July 31, 2023, on “Online Resolution of Disputes in the Indian Securities Market”.
Each party agrees to perform such further actions and execute such further agreements as are necessary to effectuate the purposes hereof Client shall go through the Disclosure Document and Disclaimer before subscribing to the services of the RESEARCH ANALYST to make an informed decision for engaging RESEARCH ANALYST before investing.
The client shall complete the questionnaire before subscribing to the product/services suitable to the client Agreed and Accepted
Example –
Moderate risk investor – This type of investor is able to accept investment loss occasionally and is willing to take the small risk associated with the market. The services recommended will be in equity cash segment.
High-risk investor – This type of investor is keen on opportunities to generate a high return and is able to accept substantial risk and can accept quite high investment loss. (They are traders in nature and look for speculative gains opportunities in stock markets and are exposed to derivatives F & O Trading.)
So, it is our responsibility to inform and explain each and everything to the client about the risk involved in trading and investment in stock markets, which can help to mitigate substantial loss to the tune of erosion of capital involved. There are no assured returns in stock market. Our services are fee-based which does not include any commission or remuneration, referral fee, or any other payment from any third party or person. The main purpose of preparing this report is to complete the KYC, Risk Profiling, and ‘Client’s service provider agreement’. Trade with Proper Stop Loss. Never become greedy, psychology plays vital role.
The suitability of an investment for a particular person is the very heart of the investment process. This is a fundamental concept both from a legal perspective and in terms of putting investors’ money to work sensibly and prudently. As per Securities Exchange Board of India (SEBI), RESEARCH ANALYST Regulations 2014 regulations which gives details about the point which are mentioned in the suitability report being provided to the client.
For Client PARTICULARS DETAILS NAME OF CLIENT … DATE OF BIRTH … RISK SCORE … RISK PROFILE High – Preferred Service Future, Option, Commodity SERVICE Index Option RISK NATURE High – Preferred Service Future, Option, Commodity Risk Bearing Capacity Service Details.
PARTICULARS DETAILS NAME OF SERVICE Index Option SUBJECT MATTER
The recommendation are based on fundamental and technical analysis.
FREQUENCY OF SERVICE In this service, we provide Intraday plus holding Recommendations MARKET NSE RISK NATURE High – Preferred Service Future, Option, Commodity Risk Past performance is not evidence for future success, but in every field.
No person should rely on Past performance, we request customers not to rely on how the service is profitable for them and prepares the benchmark for calculating profitability and accuracy. But market is uncertain and highly volatile so we do not give assured returns and we do not reply on past performance. The risk profile of Name Of Client indicates that he is a «High» Risk bearer client, in his investment, and the services we recommended for him match his Risk profile. The client is ready to bear all types of Risk. The client is satisfied with the Risk Profile Client is aware of the risk factor involved in the market and service. The client is agreed to all the Disclosures, Terms and conditions, and disclaimers that are mentioned on the website.
Past performance is not indicative of future performance. Registration granted by SEBI and certification from NISM in no way guarantees performance of the intermediary or provides any assurance of returns to investors.
“Investment in securities market are subject to market risks. Read all the related documents carefully before investing.”
NO GUARANTEED RETURNS. NO ASSURED RETURNS. RESEARCH ANALYST IS NOT RESPONSIBLE FOR ANY KIND OF PROFIT/LOSS.
ASSESSMENT DONE BY HARSH VARDHAN SEBI Registered Research Analyst Registration No. INH000011006 with Client – Disclosure Document The particulars given in this Disclosure Document have been prepared in accordance with SEBI (RESEARCH ANALYST) Regulations, 2014. The purpose of the Document is to provide essential information about the stock recommendations Services in a manner to assist and enable the prospective client/client in making an informed decision for engaging Research Analyst before investing.
Descriptions about “Research Analyst” History, Present business, and Background Research Analyst is registered with SEBI as RESEARCH ANALYST with Registration No. INH000011006. The firm got its registration on 06/12/2022 and is engaged in Research Analyst.
The focus of an RESEARCH ANALYST is to provide Stock Recommendations to the clients. RESEARCH ANALYST aligns its interests with those of the client and seeks to provide the best-suited Recommendations based on the client’s risk profile. The RESEARCH ANALYST first tries to understand the client’s return expectations, risk-taking ability & goals, which in turn helps to arrive at an asset allocation suitable for the client. The RESEARCH ANALYST conducts frequent stock, derivatives, commodities reviews and suggests any corrective action/s if required.
TERMS AND CONDITIONS
HARSH VARDHAN RESEARCH ANALYST with Registration No. INH000011006are detailed in the client agreement.
Please refer to the same for details. – Disciplinary history
Such product materials may also be available at www.moneycontrol.com, Investing.com, www.sebi.gov.in or www.nseindia.com, or the respective issuer’s website. Drawing client’s attention to warnings, disclaimers in documents, and advertising materials relating to investment products. The Research Analyst draws the client’s attention to the warnings, disclaimers in documents, and advertising materials relating to an investment product that is being recommended to the client. A brief regarding the risk associated with the investment products is available in the client agreement, same may be referred to before investing in Recommended products or securities.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 (Type of Registration- Individual, Validity of Registration- Perpetual).
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RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 – DOES NOT provide any kind of free trial of services to any client.
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The information and views on the website & all the services we provide are believed to be reliable, but we do not accept any responsibility (or liability) for errors of fact or opinion. Users have the right to choose the product/s that suit them the most.
All investment in Financial Products is subject to market Risk.
There is no guarantee of return.
Investment in equity shares has its own risks. Sincere efforts have been made to present the right investment perspective. The information contained herein is based on analysis and on sources that we consider reliable. We, however, do not vouch for the consistency or the completeness thereof. This material is for personal information, and we are not responsible for any loss incurred due to it & take no responsibility whatsoever for any financial profits or loss which may arise from the recommendations above.
Our clients or Any third party or anyone else have no rights to forward or share our calls or SMS or Research Reports or Any Information Provided by us to/with anyone which is received directly or indirectly by them. If found so then Legal Actions can be taken.
By accessing RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) or any of its associate/group sites, you have read, understood, and agree to be legally bound by the terms of the following disclaimer and user agreement.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) does not guarantee the consistency, adequacy, or completeness of any information and is not responsible for any errors or omissions or for the results obtained from the use of such information.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN )is not responsible for any errors, omissions, or representations on any of our pages or on any links on any of our pages. RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) does not endorse any way any advertisers on our web pages. Please verify the veracity of all information on your own before undertaking any alliance.
The information on this website is updated from time to time. RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) however excludes any warranties (whether expressed or implied), as to the quality, consistency, efficacy, completeness, performance, fitness, or any of the contents of the website, including (but not limited) to any comments, feedback and advertisements contained within the Site.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) makes no warranty that the contents of the website are free from infection by viruses or anything else which has contaminating or destructive properties and shall have no liability in respect thereof.
There are risks associated with utilizing internet and short messaging system (SMS) based information and research dissemination services.
Subscribers are Recommended to understand that the services can fail due to the failure of hardware, software, and Internet connection. While we ensure that the messages are delivered in time to the subscriber’s Mobile Network, the delivery of these messages to the customer’s mobile phone/handset is the responsibility of the customer’s Mobile Network. SMS may be delayed and/or not delivered to the customer’s mobile phone/handset on certain days, owing to technical reasons, and RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) cannot be held responsible for the same.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) hereby expressly disclaims any implied warranties imputed by the laws of any jurisdiction. We consider ourselves and intend to be subject to the jurisdiction only of the courts of Jodhpur Rajasthan in India. If you don’t agree with any of our disclaimers above please do not read the material on any of our pages. This site is specifically for users in the territory of India. Although the access to users outside India is not denied, RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) shall have no legal liabilities whatsoever in any laws of any jurisdiction other than India. We reserve the right to make changes to our site and these disclaimers, terms, and conditions at any time.
Stock trading is inherently risky, and you agree to assume complete and full responsibility for the outcomes of all trading decisions that you make. All comments and posts made by RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN )is for information purposes only and under no circumstances should be used for actual trading.
Under no circumstances should any person at this site make trading decisions based solely on the information discussed herein. Prices of the Stocks showcasing on website is only for information purposes, these prices are not real time and are on delayed basis so kindly verify the same with your own stock brokers and from exchange approved database.
I am qualified Research Analyst, and I provide all the market-based information to keep my clients informed about the real-time changes happening in the financial market, complete information provided by us consist of factual information which helps you to understand the movement of the market through the investment Recommendations I provide. It is completely informative in nature.
You should strictly abide by the consultation provided by the qualified research analyst at RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) and trade only as per the stock recommendation provided by us. You agree not to make actual stock trades based on comments on the site, nor on any techniques presented or discussed on this site or any other form of information presentation. All information is for educational and informational use only. Unlike an actual performance record, simulated results do not represent actual trading. No representation is being made that any account will or is likely to achieve profits or losses similar to those shown.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) has a license to provide stock/commodities/futures and options recommendations.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) is a registered research analyst. You understand and acknowledge that there is a very high degree of risk involved in trading securities.
Past results any published on this website are not an indicator of future returns by that trader and are not an indicator of future returns which be realized by you. Do not consider past performance as there is no guaranteed returns in financial markets.
Any surfing and reading of the information is the acceptance of this disclaimer. All Rights Reserved RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) SEBI Registered Research Analyst Registration No. INH000011006 (Type of Registration- Individual, Validity of Registration- Perpetual)
All sales are final. Because RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) SEBI Registered Registration No. INH000011006 ( BRAND NAME – STOCK OCEAN ) ensures that our products and services will meet without the need to purchase, there will be ABSOLUTELY NO REFUNDS and CANCELLATIONS. Before deciding to subscribe to our services, please make sure to take our Expert, the evaluation version that we provide. We do not offer refunds on subscriptions that have already been taken. We so believe in our services and support and even give recommendation that, without any exception we a NO REFUND POLICY.
There is no Refund Policy.
For this reason, we strongly recommend that before payment, our visitors: Read all information about our products, services and support given to our clients. Evaluate the quality of our services by taking our Expert recommendation. Read our disclaimers and disclousres and investor charter deeply, Read all About Us, Why Us, Read our Terms of Use. Read our Privacy Policy. Do not allow children or other unauthorized family members or friends to access your credit cards or your account at the payment site to ensure that no one pays for a Membership without your permission. By making a payment for Membership to our site, you acknowledge that you have read and agree to the above, No Refund and no cancellation Policy. All subscriptions are final and non-refundable, and we have strict no refund policy. By visiting our website, the client agrees to accept all the terms and conditions mentioned on the website.
NOTE : Investment in stock or commodity market are subjected to market risk, before taking recommendation & any services with Stock Ocean, client should read disclaimer, terms and conditions, refund policy. Past Performance is not a Guarantee of Future Performance. Stock Ocean does not claim/give any assured returns, profit sharing, commitment and guaranteed plan. Please beware of fraudulent calls.
Attention Investors !
Risk Disclosures:
Investment in securities market is subject to market risk , we do not offer any guaranteed profit service. Before taking Expert recommendation & any services with Stock Ocean, Client should read disclaimer, terms and conditions, Disclosure and refund policy of the company.
DISCLOSURES
The particulars given in this Disclosure Document have been prepared in accordance with SEBI (Research Analyst) Regulations, 2014.
The purpose of the Document is to provide essential information about the Research and recommendation Services in a manner to assist and enable the perspective client/client in making an informed decision for engaging in Research and recommendation services before investing.
For the purpose of this Disclosure Document, Research Analyst is HARSH VARDHAN, (hereinafter referred as “Research Analyst”)
Research Analyst is registered with SEBI as Research Analyst with Registration No.INH000011006. The firm got its registration on December 06, 2022 and is engaged in research and recommendation Services.
The focus of Research Analyst is to provide research and recommendations services to the clients. Analyst aligns its interests with those of the client and seeks to provide the best suited services.
Terms and conditions of Research and Recommendation Services are detailed in the terms and condition document. Please refer to the same for details.
No penalties have been issued by SEBI under the SEBI Act or Regulations made there under against the Research Analyst relating to Research Analyst services. There are no pending material litigations or legal proceedings, findings of inspections or investigations for which action has been taken or initiated by any regulatory authority against the Research Analyst or its employees.
No associates
Research Analyst or its associates have not received any compensation or other benefits from the Subject Company or 3rd party in connection with the research report/ recommendation.
DISCLAIMER
Investment in securities market are subject to market risks. Read all the related documents carefully before investing. Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors
Research Analyst does not provide any kind of free trial of services to any client.
The information and views on the website & all the services we provide are believed to be reliable, but we do not accept any responsibility (or liability) for errors of fact or opinion. Users have the right to choose the product/s that suit them the most.
There is no guarantee of return.
Research Analyst is not responsible for any loss incurred & takes no responsibility whatsoever for any financial profits or loss which may arise from the recommendations above.
Our clients or any third party or anyone else have no rights to forward or share our calls or SMS or Research Reports or any information provided by us to/with anyone which is received directly or indirectly by them. If found so then Legal Actions can be taken.
By accessing RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) or any of its associate/group sites, you have read, understood, and agree to be legally bound by the terms of the following disclaimer and user agreement.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) does not guarantee the consistency, adequacy, or completeness of any information and is not responsible for any errors or omissions or for the results obtained from the use of such information.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) is not responsible for any errors, omissions, or representations on any of our pages or on any links on any of our pages. RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) does not endorse any way any advertisers on our web pages. Please verify the veracity of all information on your own before undertaking any alliance.
The information on this website is updated from time to time. RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) however excludes any warranties (whether expressed or implied), as to the quality, consistency, efficacy, completeness, performance, fitness, or any of the contents of the website, including (but not limited) to any comments, feedback and advertisements contained within the Site.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) makes no warranty that the contents of the website are free from infection by viruses or anything else which has contaminating or destructive properties and shall have no liability in respect thereof.
There are risks associated with utilizing internet and short messaging system (SMS) based information and research dissemination services.
Subscribers are Recommended to understand that the services can fail due to the failure of hardware, software, and Internet connection. While we ensure that the messages are delivered in time to the subscriber’s Mobile Network, the delivery of these messages to the customer’s mobile phone/handset is the responsibility of the customer’s Mobile Network. SMS may be delayed and/or not delivered to the customer’s mobile phone/handset on certain days, owing to technical reasons, and RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) cannot be held responsible for the same.
RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) hereby expressly disclaims any implied warranties imputed by the laws of any jurisdiction. We consider ourselves and intend to be subject to the jurisdiction only of the courts of Jodhpur Rajasthan in India. If you don’t agree with any of our disclaimers above please do not read the material on any of our pages.
This site is specifically for users in the territory of India. Although the access to users outside India is not denied, RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) shall have no legal liabilities whatsoever in any laws of any jurisdiction other than India. We reserve the right to make changes to our site and these disclaimers, terms, and conditions at any time.
Stock trading is inherently risky, and you agree to assume complete and full responsibility for the outcomes of all trading decisions that you make. All comments and posts made by STOCK OCEAN is for information purposes only and under no circumstances should be used for actual trading.
Under no circumstances should any person at this site make trading decisions based solely on the information discussed herein.
I am qualified Research Analyst, and I provide all the market-based information to keep my clients informed about the real-time changes happening in the financial market, complete information provided by me consist of factual information which helps you to understand the movement of the market through the investment Recommendations i provide. It is completely informative in nature.
You should strictly trade only as per the stock recommendation provided by us through WhatsApp Broadcast. Do not trade in the recommendations that are not coming from RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) (BRAND NAME – STOCK OCEAN) officially. RESEARCH ANALYST HARSH VARDHAN PROPRIETOR OF STOCK OCEAN (INH000011006) (INH000011006) shall be not be held liable for dealing in recommendations from other sources
You agree not to make actual stock trades based on comments on the site, nor on any techniques presented or discussed on this site or any other form of information presentation. All information is for educational and informational use only. Unlike an actual performance record, simulated results do not represent actual trading. No representation is being made that any account will or is likely to achieve profits or losses similar to those shown.
All sales are final. Because Stock Ocean ensures that our products and services will meet without the need to purchase, there will be ABSOLUTELY NO REFUNDS and CANCELLATIONS. Before deciding to subscribe to our services, please make sure to take our Expert, the evaluation version that we provide. We do not offer refunds on subscriptions that have already been taken. We so believe in our services and support and even give recommendation that, without any exception we a NO REFUND POLICY.
For this reason, we strongly recommend that before payment, our visitors: Read all information about our products, services and support given to our clients. Evaluate the quality of our services by taking our Expert recommendation. Read all About Us Read our Terms of Use. Read our Privacy Policy. Do not allow children or other unauthorized family members or friends to access your credit cards or your account at the payment site to ensure that no one pays for a Membership without your permission. By making a payment for Membership to our site, you acknowledge that you have read and agree to the above, No Refund and no cancellation Policy. All subscriptions are final and non-refundable, and we have strict no refund policy. By visiting our website the client agrees to accept all the terms and conditions mentioned on the website
NOTE : Investment in stock or commodity market are subjected to market risk, before taking recommendation & any services with Stock Ocean, client should read disclaimer, terms and conditions, refund policy. Past Performance is not a Guarantee of Future Performance. Stock Ocean does not claim/give any assured returns, profit sharing, commitment and guaranteed plan. Please beware of fraudulent calls.
No. of Complaints | At the Beginning of Month | Received During The Month |
---|---|---|
1 | 0 | 0 |
Pending at the end of the Month | Reason for Pendency | Total Complaint Resolved |
0 | - | 1 |
Total Clients Served so far | Total Complaint Received so far | % of the complaints as per overall client base |
100 | 1 | 1 |