SEBI Registration No - INH300009914
SEBI Disclaimer & User Guidelines
Research Services are under the banner of KRISHNA KUMAR PATHAK SEBI Registration-INH300009914
• Krishna Kumar Pathak (the “Individual”) is registered with SEBI as an Individual Research Analyst vide Registration number INH300009914 on June 22, 2022, pursuant to which it provides Research Analyst services to its clients.
• I am not affiliated with any other intermediaries or receive any brokerage or commission from any third party.
• The SEBI has issued no penalties/directions under the SEBI Act or any other regulatory body.
• I do not recommend any stock broker or other intermediary to a client, nor do I receive any consideration by way of remuneration or compensation or in any other form whatsoever from the stock broker or another intermediary.
• I agree that the services provided are only in the form of recommendations on the portfolio of listed stocks based on qualitative and/or quantitative analysis, and I would not be responsible for any losses that may be caused by the investment decisions taken based on my
recommendations.
• I do not provide any promise or assurance of a favorable view for a particular industry, sector, or business group in any manner. The investor is requested to take into consideration
all the risk factors, including their financial condition and suitability to the risk-return profile, before investing.
• I make no representation, warranty, or guarantee as to the accuracy, completeness, or timeliness of the information (including news, prices, statistics, analysis, and the like). In no
event, I or my associates will be liable to any person for any decision made or action taken in reliance upon the information provided herein.
• The research recommendations are provided to all the clients who are entitled to receive the research reports.
• I ensure that the individuals employed as research analysts are separate from other employees who are performing sales trading, dealing, corporate finance advisory, or any other activity
that may affect the independence of our research report/recommendations. However, these individuals may receive feedback from sales or trading personnel of the brokerage division to ascertain the impact of research report/recommendations.
• I ensure that if a client wants an opinion on a specific position, such suggestion/view under any circumstances shall be considered as an opinion (not advice). I will not be liable for any losses whatsoever the client may incur in accepting this opinion.
• I do not have any association in any manner with any issuer of products/securities; this ensures that there are no actual or potential conflicts of interest. This also ensures that objectivity or independence in the carrying out of investment advisory services is not compromised.
Krishna Kumar Pathak is a registered Research Analyst with the Securities and Exchange
Board of India (SEBI) under SEBI registration number INH300009914. The registered office address of Krishna Kumar Pathak is: RS 39/43, 5/3C Golden Park Sankarpur West, Near Rabindranagar Co-operative, Durgapur, West Bengal 713206.
The content and data available in the materials prepared by the company and on the company’s website, including but not limited to index values, return numbers, and rationale, are for informational and illustrative purposes only. Charts and performance figures do not account for transaction fees or other related costs. Past performance is not a guarantee of future results, and the performance of portfolios is subject to market risks. Data used for calculating historical returns and other information is sourced from third-party vendors approved by the exchange and has neither been audited nor validated by the Company.
Information contained in the material prepared by the company and on the company’s website should not be construed as a recommendation or solicitation for investment. Investors are solely responsible for their investment decisions and are advised to verify all information used to
make such decisions. It is important to note that an investor’s decision should be based on personal investment needs, risk tolerance, and other factors. The information presented by the company is just one of many elements that should be considered when making investment
decisions.
Disclaimer- “Investment in securities market are subject to market risks. Read all the related documents carefully before investing.” We are not responsible for your Profit and Loss. Past performance is no guarantee of future results.
Registration granted by SEBI, membership of BASL (in case of IAs) and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors. The investor is requested to take into consideration all the risk factors before
actually trading in derivative contracts.
We and our associates, officers, directors, and employees, Research Analyst (including
relatives) worldwide may:
(a) from time to time, have long or short positions in, and buy or sell the securities thereof, of company(ies) forming part of the products or reports created by the company; or
(b) may have other potential/material conflicts of interest with respect to any company(ies) in various products or reports created by the company. Any such positions of conflict of interest will be appropriately disclosed and dealt with in accordance with applicable law. [to be modified depending upon actual circumstances]
The Company does not provide any promise or assurance of a favourable view for a particular industry or sector or business group in any manner. The investor is requested to take into consideration all the risk factors, including their financial condition, suitability to risk-return profile, and take professional advice before investing.
The analysts for various products or reports created by the company certify that all of the information/material therein accurately reflects his or her personal views about the subject company or companies and its or their securities, and no part of his or her compensation was, is, or will be, directly or indirectly related to company(ies) in various products or reports created by the company. No part of this material may be duplicated in any form and/or redistributed without the prior written consent of the Company.
TERMS & CONDITIONS | KYC GUIDELINES | REFUND & CANCELLATION POLICY
This communication is sent through the official channel of WealthFino, a brand name of Krishna Kumar Pathak, SEBI Registered Research Analyst, Registration Number INH300009914.
“The recommendations I provide are based on my personal research and analysis. I, Krishna Kumar Pathak, am not responsible for any profits or losses from investments made based on these recommendations.”
ACCEPTANCE OF TERMS & CONDITIONS AND KYC DISCLOSURE FOR CLIENTS
“As a client/user, I, the undersigned, hereby confirm that the information provided, including my PAN number, date of birth, state, mobile number, and email address, is accurate and true to the best of my knowledge and belief. By submitting this information, I acknowledge and consent to the terms and conditions set forth by Krishna Kumar Pathak for the services rendered.”
As a user/client, I fully understand that I assume sole responsibility for any financial gains or losses arising from my investment decisions, and I acknowledge that investments in the securities market are subject to market risks. I will not hold Krishna Kumar Pathak liable for any profits or losses.” Furthermore, I undertake to promptly inform you of any changes to the details provided herein.
REFUND & CANCELLATION POLICY
• By using the services of Krishna Kumar Pathak, you agree that all payments are non refundable and non-cancellable.
• Any investment decisions are made at your own risk.
• Krishna Kumar Pathak is not responsible for any losses incurred.
• All investments carry market risks.
• By proceeding, you confirm that you accept these terms and agree that NO REFUND OR CANCELLATIONS will be allowed.
INVESTOR CHARTER IN RESPECT OF RESEARCH ANALYSTS
Vision and Mission Statements for Investors
Vision – Invest with knowledge & safety.
Mission – Every investor should be able to invest in the right investment products based on their needs, manage and monitor them to meet their goals, access reports, and enjoy financial wellness.
Details of Business Transacted by the Research Analyst with Respect to the Investors
• To publish research reports based on the research activities of the RA.
• To provide an independent, unbiased view on securities.
• To offer unbiased recommendations, disclosing financial interests in recommendedsecurities.
• To provide research recommendations based on the analysis of publicly available information and known observations.
• To conduct audits annually.
Details of Services Provided to Investors
• Onboarding of Clients.
• Disclosure to Clients.
• To distribute research reports and recommendations to clients without discrimination.
• To maintain confidentiality with respect to the publication of the research report until made available in the public domain.
Details of Grievance Redressal Mechanism and How to Access It
In case of any grievance/complaint, an investor should approach the concerned research analyst and ensure that the grievance is resolved within 30 days.
If the investor’s complaint is not redressed satisfactorily, one may lodge a complaint with SEBI on SEBI’s SCORES portal, which is a centralised web-based complaints redressal system. SEBI takes up complaints registered via SCORES with the concerned intermediary for timely redressal. SCORES also facilitates tracking the status of the complaint.
For 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
Expectations from the Investors as per SEBI Circular
Do’s
• Always deal with SEBI-registered Research Analysts.
• Ensure that the Research Analyst has a valid registration certificate.
• Check for the SEBI registration number.
• Please refer to the list of all SEBI-registered Research Analysts, which is available on the SEBI website at the following link: SEBI Registered Research Analysts List.
• Always pay attention to the disclosures made in the research reports before investing.
• Pay your Research Analyst through banking channels only and maintain duly signed receipts mentioning the details of your payments.
• Before buying securities or applying in a public offer, check for the research recommendation provided by your Research Analyst.
• Ask all relevant questions and clear your doubts with your Research Analyst before acting on the recommendation.
• Inform SEBI about any Research Analyst offering assured or guaranteed returns.
Don’ts
• Do not provide funds for investment to the Research Analyst.
• Don’t fall prey to luring advertisements or market rumours.
• Do not get attracted to limited-period discounts or other incentives, gifts, etc., offered by the Research Analyst.
• Do not share login credentials and passwords of your trading and demat accounts with the Research Analyst.
DISCLAMIER:
“Investment in securities market are subject to market risks. Read all the related documents carefully before investing.”
Trading in Futures & Options (F&O) carries high risk as it depends on market momentum.
Past performance is no guarantee of future results.
Dear Members,
Please be advised that it is mandatory to thoroughly review the following documents:
• Terms and Conditions
• SEBI Guidelines
• Research Disclaimers
• User Guidelines
• Investor Charter
• Grievance Redressal
For detailed information, kindly visit: www.krishnapathak.com
COMPLAINT RESOLUTION PROCESS
If you’re not satisfied with our services, please first contact your representative or consultant from the Research Analyst Department. They will make every effort to resolve your complaint within 7 to 10 working days.
You can also reach them by:
Compliance Office
Address: RS 39/43, 5/3C Golden Park Sankarpur West, Near Rabindranagar Co-operative,
Durgapur, West Bengal 713206
Compliance Officer: Krishna Kumar Pathak
Email: skrishna.sk4@gmail.com
Phone: 988-345-5700
Grievance Office
Address: RS 39/43, 5/3C Golden Park Sankarpur West, Near Rabindranagar Co-operative,
Durgapur, West Bengal 713206
Name: Krishna Kumar Pathak
Email: wealthfino@gmail.com
Phone: 988-345-5700
If you prefer, you can send a formal complaint to:
Email: skrishna.sk4@gmail.com
We will review and aim to resolve your complaint within 7 to 10 working days.
If unresolved for over a month, you can escalate to SEBI through their SCORES platform: https://scores.sebi.gov.in/
For further resolution, you can use the ODR Portal: https://smartodr.in/login
“We are committed to resolving your concerns in a professional and timely manner.”
SEBI Office Address
Eastern Regional Office (ERO)
The Regional Director,
L&T Chambers, 3rd Floor, 16 Camac Street,
Kolkata – 700017, West Bengal
Tel. Board: +91-33-23023000
Fax: +91-33-22874307
E-mail: sebiero@sebi.gov.in
Head Office (HO)
SEBI Bhavan BKC
Plot No. C4, ‘G’ Block, Bandra-Kurla Complex,
Bandra (East), Mumbai – 400051, Maharashtra
Tel. +91-22-26449000 / 40459000
Fax. +91-22-26449019-22 / 40459019-22
Toll-Free Investor Helpline: 1800 22 7575
KRISHNA PATHAK – SEBI REGISTERED RESEARCH ANALYST
Krishna Kumar Pathak
SEBI Registered Research Analyst
Registration No. INH300009914
Email: skrishna.sk4@gmail.com
Mobile– 9883455700
RISK DISCLOSURE WITH RESPECT TO TRADING BY INDIVIDUAL TRADERS IN EQUITY FUTURES & OPTIONS SEGMENT
RISK DISCLOSURES ON DERIVATIVES
• 9 out of 10 individual traders in equity Futures and Options Segment, incurred net losses.
• On an average, loss makers registered net trading loss close to 50,000.
• Over and above the net trading losses incurred, loss makers expended an additional 28% of net trading losses as transaction costs.
• Those making net trading profits, incurred between 15% to 50% of such profits as transaction cost.
Source – SEBI | Study – Analysis of Profit and Loss of Individual Traders dealing in Equity F&O Segment
DISCLAIMER
The report, information, opinions, buy/sell recommendations have been prepared by me and are subject to change without any notice. The report and information contained herein are strictly confidential and meant solely for the selected recipient and may not be altered in any way, transmitted to, copied or distributed, in part or in whole, to any other person or to the media or reproduced in any form, without the prior written consent of me. The information provided in
the Report is from publicly available data, which I believe to be reliable. While reasonable endeavors have been made to present reliable data in the Report so far as it relates to current and historical information, I am not guaranteeing the accuracy or completeness of the data in the Report. Accordingly, I or my relatives shall not be in any way responsible for any loss or damage that may arise to any person from any inadvertent error in the information contained,
views, and opinions expressed in this publication.”
“Past performance is not indicative of future results, and no assurances can be provided regarding future performance. It’s essential to acknowledge the inherent volatility of the market, as the prices, values, and incomes of the securities or financial instruments discussed in
this report may experience fluctuations in Up side and Down Side.”
The Report also includes my analysis and views. The Report is purely for information purposes and does not construe to be investment recommendation/advice or an offer or solicitation of an offer to buy/sell any securities. The opinions expressed in the Report are our current opinions as of the date of the Report and may be subject to change from time to time without notice. I / Or any persons connected with me do not accept any liability arising from the use of this
document.
Investors should not solely rely on the information contained in this Report and must make investment decisions based on their own investment objectives, judgment, risk profile and financial position. The recipients of this Report may take professional advice before acting on this information.
This document is for private circulation only. Neither the information nor any opinion expressed constitutes an offer, or any invitation to make an offer, to buy or sell any securities or any options, future or other derivatives related to such securities. The investment advice or guidance provided by way of recommendations, reports or other ways are solely the personal views of the research analyst. Users are advised to use the data for informational purposes only and to rely on their own judgment when making investment decisions. The research recommendations and information are solely for the personal information of the authorized recipient and do not constitute an offer document, investment, legal, or taxation advice, nor should they be construed as a solicitation for any action based upon them. This report is not for public distribution or use by any person or entity, where such distribution, publication, availability, or use would be contrary to law,
regulation, or subject to any registration or licensing requirement.
Receiving this report does not make the recipient a customer of KRISHNA KUMAR PATHAK. The report is based on information obtained from public sources considered reliable, but KRISHNA KUMAR PATHAK does not guarantee its accuracy or completeness.
KRISHNA KUMAR PATHAK shall not be held responsible for any loss or damage that may arise from any inadvertent error in the information contained in this report. Recipients of this report should rely on their own investigations and assessments.
I hereby confirm that no material disciplinary action has been taken against me by any Regulatory Authority that impacts my Equity Research Analysis activities.
Disclosure:
To the best of my knowledge and belief, I, KRISHNA KUMAR PATHAK and Registration No. INH300009914 / my Associates / my Family:
• Do not have any financial interest or any actual/beneficial ownership in the subject company.
• Do not have any other material conflict of interest at the time of publication of the research report.
• Have not received any compensation from the subject company, nor managed or co managed any public offering of securities for the subject company.
• Have not received any compensation for brokerage services or any products/services, or any compensation or other benefits from the subject company, nor have engaged in market-making activity for the subject company.
• Have not served as an officer, director, or employee of the subject company.
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