Quantace Research

Master Policy

Quantace Research and Capital Private Limited ("Quantace") is committed to maintaining the highest standards of professionalism, integrity, and regulatory compliance in all its operations. This Master Policy outlines the key principles and policies that govern the company's activities and ensure alignment with the Securities and Exchange Board of India (SEBI) (Research Analysts) Regulations, 2014.

Purpose

  • Provide an overarching framework for Quantace's operations.
  • Ensure that all activities are conducted in accordance with SEBI regulations and industry best practices.
  • Serve as a reference for detailed internal policies governing various aspects of our business.

Compliance and Monitoring

  • Regularly review all policies to ensure compliance with SEBI regulations and update them as necessary.
  • Ensure that all employees are aware of and adhere to the policies.
  • Maintain clear records of all activities in line with regulatory requirements.

Key Policies

Advertising Policy

Ensures that all promotional materials are truthful, clear, and compliant with SEBI guidelines.

Anti-Money Laundering (AML) Policy

Establishes processes for client verification and reporting suspicious activities in line with SEBI’s AML requirements.

Client Onboarding Policy

Defines the procedures for onboarding clients, ensuring full compliance with Know Your Customer (KYC) regulations.

Code of Conduct

Outlines ethical standards for all employees, ensuring integrity and professionalism in all business interactions.

Conflict of Interest Policy

Ensures transparency and fair practices by managing and disclosing any conflicts of interest in research reports.

Segregation of Research Activities Policy

Maintains the independence of research activities to ensure objectivity and integrity.

Cybersecurity Policy

Protects sensitive data and information systems from unauthorized access and ensures confidentiality.

Fit & Proper Policy

Ensures that all individuals involved in research activities meet SEBI's "fit and proper" criteria.

Recommendation Disclosure Policy

Ensures transparency in all research recommendations and related disclosures.

Refund Policy

Establishes that all sales are final, with no refunds or cancellations after subscription confirmation.

Terms of Service

Governs the client relationship, including liability disclaimers and risk warnings.

Prevention of Sexual Harassment Policy

Ensures a workplace free from harassment and provides clear mechanisms for grievance reporting and resolution.

Grievance Redressal Policy

Provides a clear process for addressing and resolving client grievances in a timely manner.