Statutory Disclosures & Compliance Statement | Stoic Wealth

Regulatory Compliance Note: In compliance with the Securities and Exchange Board of India (Research Analysts) Regulations, 2014, the following disclosures are provided to ensure complete transparency, accountability, and informed decision-making for all clients.

1. Regulatory Status

  • 1.1. Registration Details: Stoic Wealth is formally registered with the Securities and Exchange Board of India (SEBI) as a Partnership Firm Research Analyst.

    • Registration Number: INH000022224

    • Date of Grant: July 30, 2025

  • 1.2. Scope of Services: We provide professional Research Analyst services to our clients strictly in accordance with SEBI regulations.

⚠️ Mandatory SEBI Disclaimer: Registration granted by SEBI and certification from NISM in no way guarantee the performance of the intermediary or provide any assurance of returns to investors.

2. Independence & Conflict of Interest

  • 2.1. No Affiliations: We maintain absolute independence and are not affiliated with any other market intermediaries.

  • 2.2. Zero Third-Party Incentives: We do not receive any brokerage, commission, referral fees, or any other form of compensation from third parties, stockbrokers, or intermediaries.

  • 2.3. No Broker Recommendations: We do not recommend or push clients toward specific stockbrokers or third-party service providers.

  • 2.4. Operational Integrity & Segregation: We ensure that individuals employed as research analysts are strictly segregated from employees performing sales, trading, dealing, or corporate finance advisory activities to fully protect research independence.

    • Note: Our analysts may receive general market feedback from sales or trading personnel solely to ascertain the real-time market impact of our research reports.

  • 2.5. Personal Interests & Material Disclosures: We, or persons associated/related to us, may from time to time hold financial positions in the stocks recommended. Any such positions will be transparently disclosed in accordance with regulatory requirements.

  • 2.6. Objectivity: We have no structural or commercial association with any issuer of products or securities, ensuring that our objectivity and research independence remain uncompromised.

3. Risk Disclosure & Limitation of Liability

⚠️ Market Risk Warning: Investments in the securities market are subject to market risks. Read all related documents carefully before investing.

  • 3.1. No Assured Returns: We provide no promise, warranty, or assurance of favorable views or financial returns for any particular industry, sector, or business group.

  • 3.2. Data Accuracy Limits: While we exercise maximum professional due diligence to ensure our research information is sourced from highly reliable channels, we do not vouch for the absolute consistency, accuracy, or completeness of the underlying data.

  • 3.3. User Responsibility: All investment decisions are the sole, unshared responsibility of the client. Stoic Wealth is not responsible or liable for any financial loss incurred due to our information. We take zero responsibility for any financial profits or losses that may arise from our recommendations.

  • 3.4. Simulated/Hypothetical Performance: Any simulated or hypothetical performance results presented do not represent actual trading. No representation or guarantee is being made that any active client account will or is likely to achieve profits or losses similar to those shown in historical illustrations.

4. Intellectual Property & Confidentiality

  • 4.1. Proprietary Rights: All research recommendations, updates, and reports are provided exclusively to our explicitly entitled, paid clients.

  • 4.2. Redistribution Prohibition: No client (paid or unpaid), third party, or individual has the right to forward, copy, screenshot, share, or redistribute our calls, SMS, reports, or any information provided by us through any medium or platform.

  • 4.3. Legal Action: Unauthorized distribution or commercial piracy of our proprietary intellectual property is strictly prohibited and will result in swift, serious legal action.

5. Opinions vs. Formal Advice

  • 5.1. Casual Position Checking: If a client requests an ad-hoc view or opinion on a specific stock position they hold, such a view shall be legally considered a generic opinion, not formal investment advice. We are not liable for any losses a client may incur by acting on such opinions.

  • 5.2. Educational Channels: Everything posted across our official social media channels (including but not limited to X/Twitter, Facebook, Telegram, and YouTube) is strictly for educational, illustrative, and informational purposes and must not be construed as actionable recommendations or formal investment advice.

6. Client Due Diligence & Self-Reliance

  • 6.1. Independent Evaluation: We strongly encourage all investors to use our services purely as an additional resource to further their own primary research.

  • 6.2. Suitability Assessment: Before acting on any market information, investors must carefully evaluate their own unique financial condition, risk appetite, investment horizon, and suitability profile. You—and not Stoic Wealth—assume the entire financial cost and risk of any trading or investment activities you choose to undertake.

  • 6.3. External Advisory: If you choose to engage in financial transactions without seeking tailored advice from a licensed financial advisor, such decisions and any direct or indirect consequences flowing therefrom remain entirely your sole responsibility.