Abakkus Agreement

Abakkus Investment Advisors (a division of Abakkus Asset Manager LLP) providing Investment
Advisory Services under the brand Abakkus Smart

Non-Individual Investment Adviser Registration no. INA000015729
BASL Membership ID: BASL1093
LLP Identification Number: AAM-2364
Validity of Registration: – Feb 03, 2021 - Perpetual
Registered Office Address: Abakkus Corporate Center, 6th Floor, Param House, Shanti Nagar, Near
Grand Hyatt, Off Santacruz Chembur Link Road, Santacruz East, Mumbai – 400055, +91 22 6884 6600
Contact: +91 (22) 68846600
Details of Principal Officer

Mr. Biharilal Deora
Phone: +91 22 68846604
E-mail: biharilal.deora@abakkusinvest.com
Details of Compliance Officer

Mr. Lijo Varghese
Phone: +91 22 68846699
E-mail: lijo.varghese@abakkusinvest.com/complianceteam@abakkusinvest.com
Details of Grievance Officer

Mr. Lijo Varghese
Phone: +91 22 68846699
E-mail: lijo.varghese@abakkusinvest.com/complianceteam@abakkusinvest.com
SEBI Head Office: SEBI Bhavan, Plot No. C-4 A, G Block, Bandra Kurla Complex, Bandra East, Mumbai
400 051
DISCLAIMER: Investment in securities market are subject to market risks. Read all the related documents
carefully before investing. The information is only for consumption by the client and such material should
not be redistributed.
Signature Not Verified

Digitally Signed.
Name: ABHISHEK KUMAR
Date: 23-Jul-2024 20:29:44
Reason: ESign for IAP Agreement
Location: MUMBAI
INVESTMENT ADVISORY SERVICES AGREEMENT
DATED THIS DAY OF Jul 23 2024,
BETWEEN
ABAKKUS ASSET MANAGER LLP (the “Investment Adviser”)
AND
ABHISHEK KUMAR (the “Client”), bearing details given in Annexure B (KYC FORM)
INVESTMENT ADVISORY SERVICES AGREEMENT
(A) the Client understands and acknowledges its consent on the following understanding:
(i) I / We have read and understood the terms and conditions of Investment Advisory services provided by
the Investment Adviser along with the fee structure and mechanism for charging and payment of fee.
(ii) I/ We understand that Registration granted by SEBI, membership of BASL and certification from
NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
(iii) I/ We understand that Investment in securities market are subject to market risks. I/ We shall read all
the related documents carefully before investing. Additionally, I/We confirm my/our understanding that
related documents, pamphlets, communications etc which include any literature related to investment has
not been confirmed or audited by any auditor or regulatory authority and any past performance stipulated
may or may not sustain in future.
(iv) Based on my / our written request to the Investment Adviser, an opportunity was provided by the
Investment Adviser to ask questions and interact with ‘person(s) associated with the investment advice’.
(B) Investment Adviser hereby declares that:
(i) Investment Adviser shall neither render any investment advice nor charge any fee until the Client has
signed this agreement.
(ii) Investment Adviser shall not manage funds and securities on behalf of the Client and that it shall only
receive such sums of monies from the Client as are necessary to discharge the Client’s liability towards fees
owed to the Investment Adviser.
(iii) Investment Adviser shall not, in the course of performing its services to the Client, hold out any
investment advice 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 investment advice is risk-free and/or not susceptible to market risks and or that it can
generate returns with any level of assurance.
(C) Under the Investment Adviser Regulations and relevant circulars issued thereunder, the Investment
Adviser is entitled to charge the fees from a Client under the following two modes:
(i) Assets under Advice (AUA) mode
a) The maximum fees that may be charged under this mode shall not exceed 2.5% of AUA per annum per
Client across all services offered by IA.
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Location: MUMBAI
b) Investment Adviser shall be required to demonstrate AUA with supporting documents like demat
statements, unit statements etc. of the Client.
c) Any portion of AUA held by the Client under any pre-existing distribution arrangement with any entity
shall be deducted from AUA for the purpose of charging fee by the Investment Adviser.
(ii) Fixed fee mode
The maximum fees that may be charged under this mode shall not exceed INR 1,25,000/- per annum per
Client across all services offered by Investment Adviser.
General conditions common under both modes
a) In case “family of Client” is reckoned as a single Client, the fee as referred above shall be charged per
“family of Client”.
b) Investment Adviser shall charge fees from a client under any one mode i.e. (A) or (B) on an annual
basis. The change of mode shall be effected only after 12 months of on boarding/last change of mode.
c) If agreed by the Client, Investment Adviser may charge fees in advance. However, such advance shall
not exceed fees for 2 quarters.
d) In the event of pre-mature termination of the Investment Adviser services in terms of agreement, the
Client shall be refunded the fees for unexpired period. However, Investment Adviser may retain a maximum
breakage fee of not greater than one quarter fee.
(D) FEES CHARGED TO THE CLIENT.
The following fees will be payable by the Client to the Investment Adviser, wherever applicable:
Particular Basis of Calculation Frequency

Advisory fee 2.5% of AUA Half yearly
The detailed fee structure for various services will be in accordance with Clause 12 and as specified in more
details in Schedule A attached herewith and forms an integral part of this Agreement.
THIS INVESTMENT ADVISORY SERVICES AGREEMENT (“Agreement”) is made at Mumbai on

the 23rd day July of 2024
BETWEEN:
(1) Abakkus Asset Manager LLP, Securities and Exchange Board of India (“SEBI”) Registration no:
INA000015729, a limited liability partnership incorporated and registered under the provisions of the
Limited Liability Partnership Act, 2008 and having its registered office at Abakkus Corporate Center, 6th
Floor, Param House, Shanti Nagar, Near Grand Hyatt, Off Santacruz Chembur Link Road, Santacruz East,
Mumbai – 400055, , (hereinafter referred to as the "Investment Adviser", which expression unless
excluded by or repugnant to the context, be deemed to include its successors and assigns); and
(2) ABHISHEK KUMAR, hereinafter referred to as the "Client", which expression unless repugnant to the
context or meaning thereof, be deemed to mean and include if the Client is individual) his/her heirs,
executors, administrators and legal representatives and permitted assignees; (if the Client is a partnership
firm), the partners for the time being of the said firm, the survivor or survivors of them and their respective
heirs, executors, administrators and legal representatives/its successors and permitted assigns; (where the
Client is a company or a body corporate) its successors and permitted assigns; (where the Client is the Karta
of a Hindu Undivided Family), the members for the time being of the said Hindu Undivided Family and
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Location: MUMBAI
their respective heirs, executors, administrators and assigns; (where the Client is the Trust), the principal
trustee or the board of trustees or the trustees or person authorised by the board of trustees for the time being
and from time to time (where the Client is the governing body of a society), the respective successors of the
members of the governing body for the time being and from time to time the members of the society for the
time being and from time to time and any new members elected or appointed.
In this Agreement, unless otherwise specified, the Investment Adviser and the Client shall be hereinafter
jointly referred to as the “Parties”, and individually as the “Party”.
WHEREAS:
(A) The Investment Adviser is in the business of providing advisory services and registered as an investment
adviser with SEBI (IA Registration no: INA000015729) (BASL Membership ID: BASL1093) under SEBI
(Investment Advisers), Regulations, 2013 and/or any amendments thereof.
(B) The Client is desirous of engaging the Investment Adviser and to avail itself of the non-binding
Investment Advisory Services in accordance with the terms and conditions of this Agreement.
(C) The Client has satisfied itself that the Investment Adviser possesses requisite level of knowledge and
competence to provide Investment Advisory Services.
(D) The Investment Adviser is willing to provide the Client with such services on the terms and subject to
the conditions of this Agreement.
IT IS AGREED as follows:
1. DEFINITIONS AND INTERPRETATIONS
1.1 In this Agreement and the Recitals hereto, unless otherwise defined in this Agreement or the context
otherwise requires, capitalised terms shall have the meanings ascribed to them under this Clause 1.1
“Affiliate” means (a) with respect to any person not being a natural person, any person directly or indirectly
controlling, controlled by or under common control with such person; (b) with respect to any person being a
natural person, immediate members of such person’s family.
“Agreement” means this Agreement along with its Schedules, Appendices or Annexures or illustrations,
and any supplemental letters, emails or terms and conditions, as may be amended from time to time.
“Assets” means the investment portfolios, funds and other assets in respect of which the Investment Adviser
provides Investment Advisory Services to the Client.
“Asset under Advise” or “AUA” means the aggregate net asset value of securities and investment products
for which the investment adviser has rendered investment advice irrespective of whether the implementation
services are provided by investment adviser or concluded by the Client directly or through other service
providers.
“Business Day” means any day other than Saturday or a Sunday, a day on which the banks in Mumbai and /
the RBI are closed for business / clearing, a day which is a public holiday and / or bank holiday; a day on
which the stock exchanges are closed, a day declared as a public holiday under the Negotiable Instruments
Act, 1881, a day on which normal business cannot be transacted due to storms, floods, bandhs, strikes or
such other events as the Investment Adviser may specify from time to time.
“Consideration” means any form of economic benefit including non-cash benefit, received or receivable for
providing investment advice;
“Client” includes person who avails services of the Investment Advisor and includes Family of Client
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Date: 23-Jul-2024 20:29:44
Location: MUMBAI
“RBI” means the Reserve Bank of India.
“Effective Date” means the date of this Agreement.
“Investment Advisory Services” mean the various investment advisory services offered /to be offered to
the Client by the Investment Adviser as provided in this Agreement.
“Family of Client” shall include dependent spouse, dependent children and dependent parents.
“Force Majeure” shall have the meaning ascribed to it in Clause 16.
“Group” means an entity which is a holding, subsidiary, associate, subsidiary of a holding company to
which it is also a subsidiary or an investing company or the venturer of the company as per the provisions of
Companies Act, 2013.
“Investment Advice” shall mean advice inter-alia relating to investing, purchasing, selling or otherwise
dealing in securities or investment products, and advice on investment portfolio containing securities or
investment products (including but not limited to, equity shares, equity and fixed income derivatives, fixed
income instruments, mutual funds, government securities, treasury bills and such other products as the
Investment Adviser and the Client may agree from time to time), whether written, oral or through any other
means of communication on a non-exclusive, non-discretionary and non-binding basis as specified in this
Agreement for the benefit of the Client after considering the risk profile of the Client.
“Investment Adviser” means Abakkus Asset Manager LLP, who for consideration, is engaged in the
business of providing investment advice to clients;
“Legal Beneficiary” mean a person who is either an authorized nominee or who has been termed as a legal
beneficiary under the will of the Client and / or has been so declared under the probate in respect to the
Assets or in whose favour, the succession certificate has been issued by a competent court.
“Persons Associated with Investment Advice” shall mean any member, officer, partner or employee or
any sales staff of the Investment Adviser including any person occupying a similar status or performing a
similar function irrespective of the nature of association with the Investment Advisor.
Explanation. —All client-facing persons such as sales staff, service relationship managers, client
relationship managers, etc., by whatever name called shall be deemed to be persons associated with
investment advice, but do not include persons who discharge clerical or office administrative functions
where there is no client interface.
“Risk-Profiling Questionnaire” means the questionnaire setting out details (if available) including the
Client’s investment objectives, investment horizon, attitude towards risk, investment experience and
preferences in respect of the investment advice, or as may be amended from time to time.
“Regulations” shall mean the SEBI (Investment Advisers) Regulations, 2013 as may be amended from time
to time and Circulars issued thereunder
“Representative” means, with respect to any Party, the person authorized by such Party to act as its
representative.
“SEBI” means the Securities and Exchange Board of India established under sub-section (1) of section 3
of the Securities and Exchange Board of India Act
“Securities” means security as defined under the Securities Contracts (Regulation) Act, 1956, and includes
any other instruments or investments as may be permitted by applicable law from time to time
“Third Party Providers” shall include any entity offering any products or services related to investment or
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Location: MUMBAI
otherwise.
1.2 In this Agreement, unless the context otherwise requires:
(a) any reference to time shall mean time by reference to Indian standard time;
(b) “in writing” and “written” includes printing, type, telex, facsimile, electronic mail, sms, photography
and all other modes of representing or reproducing words in permanent visible form;
(c) any reference to any statute or other legislation or subsidiary legislation shall be read as referring to such
statute or other legislation or subsidiary legislation as amended or re-enacted from time to time;
(d) any reference in this Agreement to a document shall include that document as amended, modified,
novated, restated or supplemented from time to time and any document which amends, modifies, novates,
restates or supplements that document;
(e) references “o "Annexures, Illustrations", "Recitals", "Clauses" and "Schedules" are to appendices,
recitals, clauses and schedules to this Agreement respectively, and references to this "Agreement" shall
mean this Agreement and the Appendices and the Schedules;
(f) references to the singular number shall include references to the plural number and vice versa, references
to "persons" shall include natural persons, companies, corporations, firms, partnerships, joint ventures,
undertakings, associations, organisations, trusts, states or agencies of a state (in each case whether or not
being a separate legal entity), and the use of any gender shall include all genders; and
(g) any reference to a person includes that person's successors, executors, personal representatives,
transferees and permitted assigns.
1.3 The headings in this Agreement are for convenience only and shall not affect the interpretation hereof.
The Recitals form part of this Agreement.
2. APPOINTMENT
2.1 In accordance with the applicable laws, Client hereby appoints, entirely at its risk, the Investment
Adviser to provide the required services in accordance with the terms and conditions of the agreement as
mandated under Regulation 19(1)(d) of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013 and any other applicable laws and regulations for the time being in force (the "Laws").
2.2 The Investment Adviser shall provide the investment advisory services to the Client on a non-exclusive,
non-discretionary and non-binding basis and shall not be precluded from providing services of a like nature
including but not limited to, any other person, firm or corporation.
2.3 The Client may from time to time agree with the Investment Adviser that it may perform other services
on mutually accepted terms as shall be agreed.
2.4 The Investment Adviser shall be acting solely in its capacity as an adviser and facilitator to the Client
and will not at any point in time accept or hold in its account/name or any Assets from the Client;
3. SCOPE OF SERVICES
3.1 The services to be provided by the Investment Adviser shall be subject to the activities permitted under
the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013. The Investment
Adviser shall act in a fiduciary capacity towards its Clients at all times. Set out below are the details of such
services:
(a) The Investment Adviser provides investment advice to the Clients relating to investing, purchasing,
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selling or dealing in securities or investment products/asset classes such as shares, debentures, bonds,
derivatives, securities instruments, structured products, units of MF/AIF/REIT/InvIT/ETF/PMS, private
equity, alternative asset class such as real estate, commodities, angel investment, offshore investment etc.
based on their investment objective, risk profile and overall needs.
(b) The Investment Adviser caters to various Client segments such as corporate houses, senior corporate
executives, professionals, family offices, businessmen, entrepreneurs, celebrities, sportspersons, HNIs and
NRIs/PIOs/OCIs among others. The investment advice would be as per the risk profile and overall needs of
the Client. In order to ascertain the same, a detailed questionnaire has been formulated for this purpose.
(c) The Investment Adviser provides advice on investment portfolio containing or any other investment
product suitable to the Client’s needs and on-going monitoring, periodic review, asset allocation and
financial planning including analysis of Clients’ financial position, identification of its financial goals and
developing and recommending financial strategies to realise such goals.
(d) The Investment Adviser acts with due skill, care and diligence in the best interests of its clients and
ensures to offer advice after thorough analysis and taking into account client’s risk profile and available
alternatives.
3.2 The Investment Adviser will provide non-binding investment advisory services to the Client, including
but not limited to rendering advice relating to investing in, purchasing, selling or otherwise dealing in
Investment Products, whether written, oral or through any other means of communication for the benefit of
the client. For this purpose, the term “Investment Products” include shares, scrips, stocks, bonds, warrants,
options, futures, convertible debentures, non-convertible debentures, securitized instruments, fixed return
investment, equity linked instruments, other marketable securities, securities-based products, portfolio-based
products, financial instruments, fixed income products, and other financial assets classes. Upon mutual
confirmation, the investment advisory services offered would include:
(a) structure model portfolios;
(b) advise on investment opportunities across asset classes;
(c) advise on various investment products and securities and structuring of financial instruments;
(d) financial planning involving analysis of clients’ current financial situation, identification of their
financial goals, and developing and recommending financial strategies designed to realise such goals;
(e) any other services incidental to the above
3.3 While the Investment Adviser will render investment advisory services, the discretion to execute the
transactions and responsibility for the execution and settlement of the transactions will lie solely with you,
the client. To execute the advice rendered by the Investment Adviser, you may invest through direct plans or
schemes (non-commission based), so that you can avoid being charged for commissions.
4. FUNCTIONS OF THE INVESTMENT ADVISER
Set out below are the functions of the Investment Adviser (including principal officer and all persons
associated with the investment advice), with specific provisions covering, inter-alia:
(a) The Investment Adviser shall comply with the provisions of the Regulations.
(b) The Investment Adviser shall comply with all the eligibility criteria requirements as specified under
the Investment Adviser Regulations at all times.
(c) The Investment Adviser shall undertake risk assessment procedure of the Client including their risk
capacity and risk aversion before providing investment advice.
(d) The Investment Adviser shall provide periodical reports to the Client on potential and current
investments as may be specified under Regulations.
(e) The Investment Adviser shall maintain records such as Client-wise KYC, risk assessment, analysis
reports of investment advice and suitability, terms and conditions document, related books of accounts and a
register containing list of Clients along with dated investment advice and its rationale in compliance with the
Regulations.
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Location: MUMBAI
(f) The Investment Adviser shall ensure compliance with audit requirements in accordance with the
provisions of the Regulations.
(g) The Investment Adviser undertakes to abide by the Code of Conduct as specified in the Third Schedule
of the Regulations
(h) The Investment Adviser shall not enter into transactions on its own account which is contrary to its
advice given to clients for a period of fifteen days from the day of such advice. Provided that during the
period of such fifteen days, if the Investment Adviser is of the opinion that the situation has changed, then it
may enter into such a transaction on its own account after giving such revised assessment to the Client at
least 24 hours in advance of entering into such transaction.
(i) The Investment Adviser shall not receive any consideration by way of remuneration or compensation or
in any other form from any person other than the Client being advised, in respect of the underlying products
or securities for which advice is provided
(j) The Investment Adviser shall not act on its own account, knowingly to sell securities or investment
products to or purchase securities or investment product from the Client.
5. INVESTMENT OBJECTIVE AND GUIDELINES
(a) The Investment Adviser will provide investment advice to the Clients relating to investing, purchasing,
selling or dealing in securities or investment products/asset classes such as shares, debentures, bonds,
based on their risk profile and overall needs. The Investment Adviser undertakes that it will recommend
direct implementation of advice i.e. through direct schemes/direct codes, and as per other applicable Client
specifications / restrictions on investments, wherever applicable, if any.
(b) The Investment Adviser will undertake a process oriented approach for formulating a financial plans
agreed with the Client (based on the risk profiling conducted for this purpose, total AUA of the Client and
time period of deployment). The plan will include a detailed investment roadmap and a periodic review of
Clients portfolio in line with the investments objectives and goals of the Client
(c) The Client acknowledges that in case of any specific tax implications on account of transactions
undertaken, the Client may be required to consult its own tax advisors before entering into any kind of
transactions undertaken pursuant to the investment advice provided under this Agreement. Client
acknowledges and agrees that the Investment Adviser shall not undertake any tax planning of the Client
under this Agreement. Client further acknowledges that in case of any demand being made on the
Investment Adviser (by the appropriate revenue/taxation authorities) to pay certain amounts towards
purported tax liability in connection with or arising from the services provided under this Agreement, the
Investment Adviser shall forthwith notify the Client and the Client will be responsible to pay the same.
(d) The investment product will have minimum initial investment amount or capital value, for each
advisory portfolio, as may be decided by the Investment Adviser. The Client, agrees to subscribe to the
model advisory Portfolio or Investment Advisory products and/or receiving Investment advisory services
relating to investing in, purchasing, selling or otherwise dealing in securities or investment products in
general.
(e) Investment Adviser undertakes that all such Investment Advisory services shall be offered to the client
with no binding whatsoever and client shall be free to implement or execute the services with any
distributor/broker/intermediary of his/her/its choice.
6. OWNERSHIP OF ASSETS OF THE CLIENT
The Assets are and will at all relevant times constitute the Client’s legal, and beneficial property and the
Investment Adviser shall at no times claim any right, title, interest or lien on such Assets.
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7. DUTIES OF THE INVESTMENT ADVISER
7.1 The Investment Adviser shall provide non-binding, non-exclusive investment recommendations and
advise on the purchase of, monitoring of and selling of securities and other Assets, as permitted by and
subject to the limitations and policies set forth in this Agreement.
7.2 The Investment Adviser may from time to time advise the Client on investing of the Client’s assets
including but not limited to advising the Client on the Asset re-allocation/rebalancing of the model advisory
portfolio that may be required.
7.3 The Investment Adviser shall provide such information as the Client may reasonably request to monitor
compliance with this Agreement.
7.4 The Investment Adviser does not provide any representation as to the suitability of the investment
advisory services to any Client residing outside India. The Investment Adviser shall not be responsible to
consider if the Investment Advisory Services conform to any local law requirements of any other country.
8. RIGHTS OF THE CLIENT
8.1 Notwithstanding the provisions of this Agreement, the Client may, if he/she so desires, seek advice on
the model advisory portfolio strategy, investment or disinvestment from any person other than the
Investment Adviser as it may deem fit, for the same Assets in respect of which the Investment Adviser has
rendered its services.
8.2 The Client has the sole discretion to decide on whether to act upon the advice rendered by the
Investment Adviser and the Investment Adviser shall have no power, authority, responsibility or obligation
to ensure or cause the Client to act upon the advice rendered by the Investment Adviser pursuant to this
Agreement.
9. OBLIGATIONS/RESPONSIBILITIES OF THE CLIENT
9.1 The Client recognizes that the value and usefulness of the Investment Advisory Services herein shall be
dependent upon information supplied by the Client and upon the Client’s co-operation as may be required.
9.2 The Client agrees to comply on a timely basis with any requisites in terms of furnishing details or
information, either by duly filling out Risk Profiling Questionnaires provided for the same, or by providing
other information and/or documents that the Investment Adviser may reasonably request, in order to enable
the Investment Adviser to perform its duties or meeting any regulatory requirements under this Agreement.
The Client understands that the risk profile is subject to change due to change in circumstances in the market
conditions etc.
9.3 The Client agrees to execute such agreements and/or documents as may be deemed necessary by the
Investment Adviser for any reason whatsoever including but not limited to requirements under applicable
laws and/or, requirements of any banks or a third party product or service providers.
9.4 The Client agrees to report details of Asset under Advice (AUA) and its portfolio holdings from time to
time, to the Investment Advisor. Moreover, Client recognises that in case of failure to furnish
aforementioned details, the Investment Advisor shall use the last updated information in this regard.
9.5 The Client shall at all times be in compliance with all applicable laws, rules, statutes, enactments, orders
and regulations, guidelines and codes of practice/conduct (as may have been amended or may be amended
from time to time in the future)inter-alia those including those related to KYC/PMLA etc. as applicable from
time to time and will not do or permit anything to be done which might cause or otherwise result in a
violation or breach of any such laws. In case of any breach or non-compliance, the Client will be solely
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responsible for all the consequences thereto.
9.6 In case of NRI/PIO Client, the Client shall ensure that it complies with all applicable laws, rules, statutes
applicable including but not limited to complying with the NRE/NRO or any other applicable scheme laid
down by RBI from time to time, obtaining any requisite permissions, if any.
10. DELEGATION
10.1 The Client acknowledges that Investment Adviser shall be at liberty to employ and pay an agent to
perform any of the services including research etc. as may be required to be performed by it hereunder. The
Investment Adviser may act or rely upon the opinion or advice or any information obtained from any expert
and shall not be responsible for any loss occasioned because of its so acting or placing bonafide reliance
upon such service provider.
10.2 The Client authorises the Investment Adviser to be entitled to delegate its functions, power, discretions,
privileges and duties hereunder to any other party, firm or corporation including any of its affiliates and
ensure performance of such obligations (including without limitation, provisions relating to confidentiality).
10.3 The Client agrees to reimburse the Investment Adviser of any payment of fees and expenses of such
persons or entities to whom the Investment Adviser delegates the performance of any functions for the
Client as aforesaid or as mutually agreed with the Client in writing.
11 JOINT ACCOUNT
It is hereby agreed that when the Client is more than one person, the Client’s obligations under this
Agreement shall be joint and several. It is clarified that in all dealings with the Client under this Agreement,
the settlement of the accounts of the Client on termination of the Agreement would be undertaken by the
Investment Adviser with the first holder only.
12. FEES, CHARGES AND TERMS OF BILLING
12.1 The fees, charges and terms of billing shall be as specifically stated in Illustration/Annexure A
attached and forming integral part of this Agreement. The payment of fees shall be through a mode which
shows traceability of funds and may include account payee crossed cheque/ Demand Drafts or by way of
direct credit to the bank accounts through NACH/NEFT/ RTGS/ IMPS/ UPI/RBI approved payment
instrument or any other mode specified by SEBI from time to time. The Client undertakes that it will not pay
any fees in cash nor can the Investment Adviser accept any fees in cash. Client also authorizes Investment
Advisor to accept all/any fees from its trading linked bank account or broker ledger maintained with the
broker used for execution for this advisory portfolio or via E-NACH auto debit. The Client declares that it
has authorized the said broker to debit fees/charges from its linked bank/trading/broker’s ledger A/c or E-
NACH mandate for the purpose of payment of such fees/charges. The Client agrees to always provide
traceability of such funds to Investment Advisor.
12.2 In consideration for its services and the amount payable to the referrer / distributor (out of the advisory
fees) through whom the Client has been introduced to the Investment Adviser, the Client agrees to pay to the
Investment Adviser charges/fees as per the Investment Adviser’s schedule of charges/fees annexed as
“Illustration/Annexure A” of this Agreement. The schedule of charges/fees is subject to change by the
Investment Adviser with prior notice and consent of the Client to any such changes.
12.3 The Client shall also pay any applicable taxes, levies or duties, including goods and services tax that
may be levied on any transactions undertaken pursuant to this Agreement.
12.4 In consideration of the fee payable and any refunds or reimbursement payable to the client the
Investment Advisor shall rely on the AUA (Asset under Advice) and portfolio holdings of the Client as
disclosed by the Client from time to time as per Clause 9.4 or as disclosed by the platform. The Investment
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Advisor shall rely on the last updated information for purposes under this clause.
12.5 All fees, charges and reimbursement of expenditure shall be paid or made in full by the Client without
any counter claim, liability or adjustment or set-off or withholding or refund. All the Client’s liabilities and
obligations hereunder to the Investment Adviser shall be joint and several.
13. RISK FACTORS
13.1 The Client acknowledges that it is aware and has understood the standard risks associated with
investing the funds in the capital market and the standard risks associated with each type of investment in
securities and investment products.
13.2 The Client hereby agrees and understands that investment advice made by the Investment Adviser are
subject to various market, currency, economic, political and business risks including but not limited to price
and volume volatility in the stock markets, interest rates, currency exchange rates, foreign investments,
changes in government policies, taxation, political, economic, pandemic, or other developments and closure
of the stock exchanges and that there is also risk of loss due to lack of adequate external systems for
transferring, pricing, accounting and safekeeping or record of securities.
13.3 The Client understands and acknowledges that as with any investment in securities, the value of the
investments or portfolio may fluctuate depending on the factors and forces affecting the capital market. The
Client understands and acknowledges that past performance is not necessarily indicative of likely future
performance.
13.4 The Client understands and acknowledges that he has to undergo a risk profiling assessment for
categorising risk in various risk profiles and he shall provide the necessary and complete information for
arriving at his risk assessment and profiling. The Client acknowledges the suitability and appropriateness of
advice provided is on the basis of information provided by him and any such advice provided can be
significantly different in the event the information is not adequately and correctly provided or in case of any
material change in future.
13.5 The Client acknowledges that it has independently considered all the aforesaid risk aspects of
investments to be made in pursuance of this Agreement and has agreed to authorise the Investment Adviser
without relying on any statements, advertisement, representations, whether oral or written by the Investment
Adviser, its employees, agents or representatives.
13.6 It is expressly understood that nothing contained herein amounts to a warranty or guarantee or
assurance by the Investment Adviser for the success of any investment decisions or strategy that the
Investment Adviser may use. The Investment Adviser does not assure or guarantee or promise any minimum
returns to the Client on the Client’s Assets or safety or even preservation of capital.
13.7 The Client is aware that the investments/disinvestments of the funds shall be at his/her/its entire risk
and the Investment Adviser shall not be responsible for loss, damage or volatility or diminishing value of the
Assets.
13.8 It is further expressly understood by the Client that no representation or warranties are held out by the
Investment Adviser about the soundness of an investment made on behalf of the Client and all actions taken
and acts done by the Investment Adviser are done solely on behalf of the Client and in the Client’s account.
13.9 The Client has read and understood the detailed statement of risks associated with each type of
investment covering the standard risks associated with each type of investment in securities and investment
products available on the website of the Investment Adviser at: https://abakkusinvest.com/regulatory-
disclosure/
14. INDEMNITIES
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
14.1 Without prejudice to the right of indemnity available to the Investment Adviser, the Client agrees to
indemnify and hold the Investment Adviser harmless to the full extent against:
(a) Any and all lawful claims, losses, damages, liabilities, costs and expenses incurred in connection with
the investigation of, preparation for and defence of any pending or threatened claim or any litigation or other
proceeding arising out of or related to any actual or proposed acts done or not done or the Investment
Adviser’s engagement or any third party product or service provider hereunder.
(b) For any gross negligence/mistake or misconduct by the Client.
(c) For any breach or non-compliance by the Client of the rules/terms and conditions in this Agreement.
14.2 Without prejudice to the right of indemnity available to the Client, the Investment Adviser agrees to
indemnify and hold the Client harmless to the full extent against:
(a) Any and all lawful claims, losses, damages, liabilities, costs and expenses incurred in connection with
the investigation of, preparation for and defence of any pending or threatened claim or any litigation or other
proceeding arising out of or related to any actual or proposed acts done or not done.
(b) For any gross negligence/mistake or misconduct by the Investment Adviser.
(c) For any breach or non-compliance by the Investment Adviser of the rules/terms and conditions in this
Agreement.
15. LIABILITY OF INVESTMENT ADVISER
15.1 The Investment Adviser shall not incur any liability by reason of any loss, which a Client may suffer by
reason of any depletion in the value of the Assets under Advice, which may result by reason of fluctuation in
asset value, or by reason of non-performance or underperformance of the securities/funds or any other
market conditions. Further, the Client hereby agrees that:
15.2 The Investment Adviser, its directors, officers, employees and agents shall not be liable to the Client
for any action taken or not taken by it or for any action taken or not taken by any other person including any
third party product or a service provider with respect to the Client or in respect of the investments of the
Client.
15.3 The Investment Adviser does not guarantee the future performance of the Assets under Advice or any
specific level of performance, or the success of any investment recommendation or strategy that the Advisor
may advise or recommend for all or any of the assets. The Client understands that investment
recommendations and/or decisions for the account are subject to various markets, currency, economic,
political, event of pandemic and business risks, and that those investment recommendations and/or decisions
may not always be profitable.
15.4 The Investment Adviser may from time to time introduce the Client to a third party product or service
providers for assisting the Client for any product or services as requested by the Client. However, the Client
shall not be under obligation to deal in such third party products or avail services or engage such third party
service providers.
15.5 The Investment Adviser does not in any manner:–

(a) Guarantee returns on any investments; or
(b) Guarantee the liquidity of any investments; or
(c) Undertake to make any offer to buy back any investments; or
(d) Guarantee the payment of interest or dividend or any other corporate actions; or promise, indicate or
guarantee any good delivery.
15.6 Except as otherwise provided by applicable laws, the Investment Adviser, acting in good faith, shall not
be liable for any action, omission, or loss in connection with this Agreement including, but not limited to,
the investment of the assets, or the acts and/or omissions of other professionals or third party product or
service providers recommended to the Client.
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
16. FORCE MAJEURE
The Investment Adviser shall not be responsible for the loss of or damage to any property or for any failure
to perform or delays or errors in performing the services under this Agreement during any period, if such
loss, damage or failure or delay or errors in performance is caused by or directly or indirectly due to civil or
military authority, national emergency, work stoppages, war damage, terrorist or enemy action, the act of
any government or other competent authority, riot, civil commotion, rebellion, storm, tempest, accident, fire,
flood, catastrophe, acts of god, even of pandemic, lock-out, strike, power failure, computer failure or error,
breakdown or delay in communications, equipment breakdowns beyond control, unavailability of prices or
disruption of relevant markets or other causes, whether similar or not, beyond the control of the Investment
Adviser. The Investment Adviser shall take reasonable steps to minimize service interruptions but shall have
no liability with respect thereto.
17. CONFIDENTIALITY
The Investment Adviser acknowledges the confidential nature of the information furnished by the Client and
is committed to safeguard the same. This Agreement is strictly confidential and the Parties undertake not to
disclose its contents to third parties without previous written consent of the other Party. Except as provided
below, Investment Adviser agrees to keep confidential all the information which comes into its possession
and shall not disclose the information to any persons except to its employees, agents, representatives or any
other product or service providers for the purpose of implementation of the terms hereof and performance of
its obligations hereunder. The obligations of Investment Adviser shall not apply to any information:
(a) that is in the public domain as of the date of this Agreement or thereafter enters the public domain other
than as a result of a breach of this Agreement;
(b) that is developed by the Investment Adviser independently;
(c) that is disclosed to Investment Adviser by a third party;
(d) disclosure to the extent required under the applicable laws, applicable to any Party or required to be
disclosed to the stock exchange or any other regulatory authorities and taxing authorities having jurisdiction
over any Party;
(e) disclosure of any information so long as such disclosure is for a bona fide business purpose of such Party
or that is generally available to the public.
The Client hereby agrees that the investment advice provided by the Investment Adviser from time to time
basis the Client’s risk profile will be used for his/her/its own purpose and will not be used for any other
purpose including advising others or marketing it outside this Agreement in any manner. The Client will
treat confidential any information learned about Investment Adviser, including without limitation, its
investment advice or its products, holdings in the course of their relationship under this Agreement. The
Client will not disclose the same whether directly or indirectly to any third party without written consent of
the Investment Adviser. The obligations of Client shall not apply to any information:
(a) that is in the public domain as of the date of this Agreement or thereafter enters the public domain other
than as a result of a breach of this Agreement;
(b) that is developed by the Client independently;
(c) that is disclosed to the Client by a third party;
(d) disclosure to the extent required under the applicable laws, applicable to any party or required to be
disclosed to the stock exchange or any other regulatory authorities and taxing authorities having jurisdiction
over any party;
(e) disclosure of any information so long as such disclosure is for a bona fide business purpose of such party
or that is generally available to the public.
Neither the expiration of this Agreement nor the earlier termination thereof for any reason whatsoever, shall
release the Parties hereto from any of its obligations under this Clause.
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
18. REPRESENTATIONS AND WARRANTIES
18.1 Representations and warranties by the Client
(a) The Client has full power, legal capacity and authority to execute, deliver and perform this Agreement
and has taken all necessary permissions, objections, consents (corporate, statutory, contractual or otherwise)
etc. to authorize the execution, delivery and performance of this Agreement in accordance with its terms, as
applicable
(b) This Agreement has been duly executed and delivered by the Client and constitutes a legal, valid and
binding obligation on the Client, enforceable against the Client in accordance with its terms
(c) The execution, delivery and performance of this Agreement and the acts and transactions contemplated
hereby do not and will not, with or without the giving of notice of lapse of time or both, violate, conflict
with, require any consent under or result in a breach of or default under:
(i) Any law, rule, regulation to which it is subject to; or
(ii) Any order, judgment or decree applicable to it; or
(iii) Any term, condition, covenant, undertaking, award, determination agreement or other instrument to
which it is a party or by which it is bound;
(iv) There are no legal, quasi-legal, administrative, arbitration, mediation, conciliation or other proceedings,
claims, actions, governmental investigations, orders, judgments, or decrees of any nature made, existing,
threatened, anticipated or pending against the Client which may prejudicially affect the due performance or
enforceability of this Agreement or any obligation against the omission or transaction contemplate
hereunder.
(v) The Client has read the Agreement and is aware of all the risks associated with the nature of services and
the transactions contemplated under the Agreement or not, and shall not hold the Investment Adviser and/or
any person appointed by it, responsible for the same.
(vi) The Investment Adviser shall have the full liberty and absolute discretion to make necessary changes in
the Agreement and/or do any act, deed, matter or thing necessary to comply with any law for the time being
in force and the Investment Adviser shall not be held liable for the same.
(d) The Client has understood all actual and potential conflicts of interest that may arise from any
connection to or association with any issuer of products/ securities, including any material information or
facts that might compromise its objectivity or independence in the carrying on of investment advisory
services
(e) The Client confirms that the Investment Adviser has made all reasonable efforts to create awareness
about the various investment products before providing the investment advice which the Client has also read
on the website of the Investment Adviser. The Investment Adviser has also made adequate disclosures to the
Client of all material facts relating to the key features of the products or securities, particularly, the key risks
and performance track records.
(f) The Investment Adviser has adequately drawn Client’s attention to the warnings, disclaimers in
documents, advertising materials relating to an investment product recommended by the Investment
Adviser.
(g) The Client confirms that the Investment Adviser has provided disclosures on certain key issues
pertaining to the Investment Adviser and the Client undertakes that he/she/it has read and understood the
nature of disclosures provided by Investment Adviser before providing investment advice and read and
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
understood his/her/its risk profile on the basis of risk profile questionnaire.
(h) The Client confirms that the Client has been introduced by a referrer / distributor to the Investment
Adviser and the Investment Adviser shall be paying a referral / distribution fee to such referrer / distributor
out of the investment advisor’s own expenses/ advisory fees.
18.2 Representations of the Investment Adviser:
(a) The Investment Adviser shall, wherever applicable ensure that it takes all consents and permissions from
the Client prior to undertaking any actions in relation to the securities or investment product advised by the
Investment Adviser.
(b) The Investment Adviser has full power, legal capacity and authority to execute, deliver and perform this
Agreement and has taken all necessary permissions, no objections, consents (corporate, statutory,
contractual or otherwise) etc. to authorize the execution, delivery and performance to this Agreement in
accordance with its terms;
(c) This Agreement has been duly executed and delivered by the Investment Adviser and constitutes a legal,
valid and binding obligation on the Investment Advisor, enforceable against the Investment Adviser in
accordance with its terms;
(d) There are no legal, quasi-legal, administrative, arbitration, mediation, conciliation or other proceedings,
claims, actions government investigations, orders, judgments or decrees of any nature made, existing,
threatened, anticipated or pending against the Investment Adviser which may prejudicially affect the due
performance or enforceability of this Agreement or any obligation, act, omission or transaction
contemplated hereunder.
(e) The Investment Adviser undertakes to abide by the rules and regulations of SEBI and any amendments
made thereto from time to time.
(f) The Investment Adviser undertakes that it will not provide any execution or distribution services, for
securities and investment products, either directly or through their Group to the Client.
(g) The Investment Adviser represents and warrant that it is carrying on its activities independently, at an
arms-length basis with its related parties.
19. DISCLOSURES PERTAINING TO CONFLICTS OF INTEREST
19.1 The services rendered by the Investment Adviser will be subject to conflict of interest relating to
Abakkus Asset Manager LLP as Investment Adviser and various other vendors, affiliates, associates,
holdings companies, subsidiaries, partners, officers and employees of the Investment Adviser (“Relevant
Parties”), which are engaged in a broad spectrum of activities in the financial sector.
19.2 It is understood that the Investment Adviser and/or any of the Relevant Parties may act as an
investment manager/portfolio manager to other clients/alternative investment funds/entities under its
portfolio/management business by identifying, evaluating and recommending investments to its clients. Any
conflict arising out of such relationships would be managed by the Investment Adviser subject to Applicable
Laws and SEBI Regulations.
19.3 There could be multiple portfolios under the management of Abakkus Asset Manager LLP as a
Portfolio Manager/Investment Manager/Investment Advisor to other funds/schemes and/or any of the
Relevant Parties, thereby presenting possibility of conflict of interest in advising investment opportunities
amongst the various clients. The Investment Adviser will endeavor to resolve any such conflicts in a
reasonable manner as it deems fit.

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
19.4 The Investment Advisor and/or any of the Relevant Parties, while advising the Client, may from time
to time effect transactions in securities in which the Investment Advisor may have a financial or other
business interest.
19.5 The Relevant Parties providing services to the Client will have, in addition to their responsibilities for
the Client, responsibilities for other companies, projects and clients. Accordingly, they may have conflicts of
interests in allocating management time and other resources amongst the Fund and such other projects and
clients.
19.6 The Investment Adviser and/or any of the Relevant Parties can act as investment manager/portfolio
manager to any of the Portfolio Entity/ies, charge fee for the services rendered to them, provide broad range
of financial services, from time to time and earn fee in addition to the fee charged to the Client under this
Agreement. Any conflict arising out of any such relationships would be managed by the Investment subject
to Applicable Law and SEBI Regulations.
19.7 The Investment Adviser and/or any of the Relevant Parties and/or its PMS clients or managed clients
like AIF/FPI may have existing similar or contra positions in the stocks/ recommended in the client's
account and may execute the their trades at different timeline based on their execution strategy which may
not match with trade recommendation to the advisory client.
19.8 The Investment Adviser may or may not have an investment recommendation similar to its position
in its other products/services/funds/vehicle/PMS where it acts as investment manager or portfolio manager
or Investment advisor.
19.9 Certain Relevant Parties may also serve as employees or partner(s) /director(s) of the company within
the group. In such situations, the employee or partner is considered to be in a “dual hat” situation, which
may result in conflicts of interest due to duties to differing entities
19.10 Considering Abakkus Asset Manager LLP is acting as Portfolio Manager, Investment Manager and
also providing investment advisory services, a potential conflict of interest could be perceived between the
investments and disinvestments undertaken by the Investment Manager for the schemes of AIF and various
investment strategies under the PMS and investments and disinvestments advise provided to investment
advisory clients.
19.11 The attorneys, accountants, and other professionals, who perform services for the Abakkus Asset
Manager LLP may, and in some cases do, also perform services for the Relevant Parties.
19.12 Conflict of interest would be inherent between the activities of the Portfolio Manager, Portfolio
Entity/ies and the Relevant Parties. Abakkus Asset Manager LLP has adopted, inter alia, certain policies and
procedures intended to protect the interest of all the investors. It is intended for such conflicts to be managed
primarily by complying with the Applicable Laws, acting in good faith to develop equitable resolutions of
known conflicts and developing policies to reduce the possibilities of such conflict. The Investment Adviser
shall ensure fair treatment to all its clients in case of conflicts of interest.
21. TERMINATION
21.1 This Agreement is deemed to have commenced on the date of the execution of this Agreement.
(“Effective Date’)
21.2 Parties shall have the right to terminate this Agreement on a voluntary basis without citing any reason
after sending a 30(thirty) days advance written notice by the either Party to the other Party. In case of any
breach of this Agreement by either Party, the other Party shall send a written notice to the defaulting Party
giving details about the breach and providing them a period of 30 (thirty) days from receipt of such notice to
remedy the breach. If the defaulting Party fails to rectify the breach within the said period, or if the breach is
not capable of being rectified, then the other Party may forthwith terminate this Agreement upon written
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
notice of termination to the defaulting Party.
21.3 This Agreement may also be terminated under the following circumstances, namely:
(a) In case of any suspension or cancellation of the certificate of registration of the Investment Adviser by
SEBI, the Client may have the option to terminate the agreement.
(b) Mandatory termination in the event of change in applicable laws or regulations making this Agreement
incapable of being performed according to its terms, subject to a reasonable notice period as may be allowed
under law;
(c) In the event of any action which is in the nature of statutory, regulatory or government license,
permission or registration, if required is not obtained or the same is subsequently withdrawn, cancelled,
suspended or nullified subject to a reasonable notice period as may be allowed under law;
(d) Upon death, insolvency, bankruptcy, dissolution or liquidation of the Investment Adviser or the Client,
as the case may be.
(e) The agreement may be terminated by Abakkus at its absolute discretion, without giving any notice
period or giving any reasons, If the Warranties, information or declarations given by client are found to be
false or untrue or misrepresenting or misleading and/or if the client is prohibited or penalized for carrying
out malpractices in capital markets or the client fails to fulfil the terms of client acceptance policy of
Abakkus.
21.4 In the event of termination, the Investment Adviser shall complete all formalities and make the final
settlement of accounts of the Client within a reasonable period from the date of receipt of the written
instructions from the Client but in no event shall this period exceed 2 (two) months from date of receipt of
such written instructions from Client.
21.5 Death or Disability of the Client: Where the Client’s account with the Investment Adviser is held
jointly by 2 (two) or more persons, the account shall be terminated as above only upon the death of all the
joint account holders of that Client account.
Provided further that in case of death of any one or more of the joint account holders, the Investment
Adviser shall not be bound to recognize any person(s) other than the remaining holders or in the absence of
any of the holders, the legal successor, nominee, representative etc. as per provisions of Indian law as may
be applicable in such case.
21.6 Upon termination of this Agreement, the Investment Adviser shall have no role or obligations
whatsoever in respect of any arrangement between the Client and any third party product or service
providers.
21.7 Upon termination, neither Party will have any further obligation under this Agreement, except for (a)
the Client’s obligation to pay to the Investment Advisor, within 30 (thirty) days, the Fees and any out of
pocket expenses incurred on behalf of the Client and then due or (b) any other set-off of fees or refund by
Investment Adviser to the Client as may be applicable, and subject to the overall completion (or termination)
of investment-in-progress or transition of the support obligations of the Investment Adviser, which
obligation shall continue after such termination until all such amounts are paid in full. Provided the
Investment Adviser shall retain a maximum breakage fee of not greater than one quarter.
21.8 The clients on subscribing to any Investment Portfolio will have to maintain a minimum threshold
capital value of Rs.5,00,000 or an amount as maybe mutually agreed between Client & Investment Adviser
for Investment Portfolio invested into. In the event of the capital value of the Investment Product going
below the minimum threshold capital amount at any particular time, client would receive communication via
electronic mail regarding the same to keep minimum investment amount above the threshold defined. In
case of not complying with the above requirement in 30 days, Investment Advisor may terminate this
agreement at any time, by giving the other party 30 days (thirty days) of prior written notice of its intention
to terminate this agreement
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
22. VALIDITY:
The Agreement shall be valid until otherwise terminated as stated in the Clause 21 above.
23. REPRESENTATIONS AND COVENANTS
The Investment Adviser represents that the qualification and certification of Principal Officer and Persons
Associated with the Investment Advice, all applicable approvals and consents received (from regulatory /
statutory bodies, third party consents, corporate approvals etc.) are as per the Regulations and undertakes to
maintain them throughout the validity of advisory service.
24.NO RIGHT TO SEEK POWER OF ATTORNEY
The Investment Adviser declares that it will not seek any power of attorney or authorizations from its
Clients for implementation of investment advice.
25. MAINTENANCE OF ACCOUNTS
Investment Adviser declares that it will be responsible for maintenance of Client accounts and data as
mandated under the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013.
26. 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.
27. MISCELLANEOUS
Each party agrees to perform such further actions and execute such further agreements as are necessary to
effectuate the purposes hereof.
27.1 Relationship: None of the provisions of this Agreement shall be deemed to constitute a partnership
between the parties hereto and no party shall have any authority to bind the other party or shall be deemed to
be the agent of the other in any way, otherwise than under this Agreement.
27.2 Waiver: No term or provision of this Agreement may be waived except in writing signed by any of the
Parties against whom such a waiver or change is sought to be enforced. Any non-exercise or non-
enforcement of any right hereunder by either Party shall not be deemed to be a waiver permanently of such
right or of any other right under this Agreement, and either Party, as the case may be, shall be entitled to
exercise and enforce the same and all other rights on all future occasions
27.3 Supremacy: This Agreement embodies the entire understanding between the Parties hereto relating to
the subject matter hereof and supersedes understandings, representations or warranties of any kind, oral or
written, if any, except for what is expressly set forth herein.
27.4 Assignment: Neither the Investment Advisor nor the Client shall have the right or power to assign this
Agreement or parts thereof, without the express written consent of the other Party.
27.5 Specific Performance: The Parties agree that damages may not be an adequate remedy and the Advisor
shall be entitled to an injunction, restraining order, right for recovery, suit for specific performance or such
other equitable relief as a court of competent jurisdiction may deem necessary or appropriate to restrain the
Client from committing any violation or enforce the performance of the covenants, representations and
obligations contained in this Agreement. These injunctive remedies are cumulative and are in addition to
any other rights and remedies the Parties may have at law or in equity or otherwise.
28. AMENDMENTS
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
The agreement may be amended by mutual written consent of the parties or by way of Aadhar based OTP
authentication / DSC / any other acceptable modes of valid execution acceptable under the prevalent laws,
from time to time
29. NOTICES
Any notice or other communication required or authorised by this Agreement to be given shall be given in
writing and shall be served by hand at or by being sent by prepaid registered post or by facsimile
transmission or electronic mail or comparable means of communication to the address or the facsimile
transmission number of the relevant Party as set out below:
To Investment Advisor: Abakkus Asset Manager LLP,

Abakkus Corporate Center, 6th Floor, Param House, Shanti Nagar, Near Grand Hyatt,
Off Santacruz Chembur Link Road, Santacruz East, Mumbai – 400055, +91 22 6884 6600
complianceteam@abakkusinvest.com
To The Client – As mentioned in Client KYC Form (Annexure B)

Address_ As mentioned in Client KYC Form (Annexure B)
Email_ mentioned in Client KYC Form (Annexure B)
30. GOVERNING LAW AND JURISDICTION
This Agreement will be governed by the Laws of India and any disputes arising herein shall be subject to the
exclusive jurisdiction of the Courts in Mumbai.
31. REDRESSAL OF CLIENT GRIEVANCES
31.1. The Client shall first take up his/her/their grievance with the Investment Adviser by lodging a
complaint directly with the Investment Adviser.
31.2. The Investment Adviser shall address such grievance promptly within a time period of 21 (twenty-
one) calendar days from the date of receipt of the grievance.
31.3. If the grievance is not redressed satisfactorily, the Client may, in accordance with the SCORES
guidelines, escalate the same through the SCORES Portal at https://scores.sebi.gov.in or to SEBI office.
The SCORES registration number is IADA3186.
The complaint shall be lodged on SCORES within one year from the date of cause of action, where –
a. The complainant has approached the Investment Adviser, for redressal of the complaint and the
Investment Adviser has rejected the complaint or,
b. The complainant has not received any communication from Investment Adviser or,
c. The complainant is not satisfied with the reply received or the redressal action taken by the Investment
Adviser.
31.4. If the Client is not satisfied with the extent of redressal of grievance by the Investment Adviser, there
is a one-time option for ‘review’ of the extent of the redressal, which can be exercised within 15 (fifteen)
days from the date of closure of the complaint on SCORES.
31.5. After exhausting these options for resolution of the grievance, if the Client is still not satisfied with
the outcome, he/she/they can initiate dispute resolution through the ODR Portal at https://smartodr.in/login .
The client(s) can also directly initiate dispute resolution through the ODR Portal if the grievance lodged
with the Investment Adviser is not satisfactorily resolved at any stage of the subsequent escalations
mentioned above.
31.6. Further, the dispute resolution through the ODR Portal can be initiated when the complaint/dispute is
not under consideration:
i. in terms of the paragraph 1 and 3 above;
ii. not pending before any arbitral process, court, tribunal or consumer forum or are non-arbitrable in terms
of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to
the insolvency process or if liquidation or winding up process has been commenced against the Market
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Participant).
Alternatively, the Client can directly initiate dispute resolution through the ODR Portal, if the grievance
lodged with the Investment Adviser is not satisfactorily resolved or at any stage of the subsequent
escalations mentioned above.
The Website of the IA has a link (https://abakkusinvest.com/regulatory-disclosure/) to access the SEBI
Master Circular and the ODR Portal.
32. PROTECTION OF ACT DONE IN GOOD FAITH
32.1. The Client agrees and confirms that no arbitration, suit or other legal proceeding shall be against the
Investment Advisor (or its partners ,officers, employees, agents, consultant or other representatives) in
respect of anything which is in good faith done or intended to be done under this Agreement.
32.2. The Investment Advisor, acting in good faith, shall not be liable for any action, omission, or loss in
connection with this Agreement including, but not limited to, the investment of the assets, or the acts and/or
omissions of other professionals or third-party product or service providers recommended to the Client.
33. DISPUTE SETTLEMENT MECHANISM AND ARBITRATION
The process of settlement dispute and arbitration is available at: https://abakkusinvest.com/regulatory-

disclosure/
34. SURVIVAL
The provisions of Clause 14, 15, 17, and 31 hereof shall survive the termination of this Agreement.

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Illustration/Annexure ‘A’
(Advisory Fees)
The applicable fee for the service is 2.5% per annual charged on a quarterly/semiannually in advance, on the
daily average value of Asset Under Advice (AUA) for each calendar quarter/6 months, plus GST.
The illustration provided herewith includes fees chargeable on quarterly basis. However, the Investment
Advisor may charge the fees semi-annually.
Illustration ANNEXURE A –
ILLUSTRATION FOR ADVANCE FEES TO BE CHARGED TO CLIENT ON FIXED FEE MODE
(In Rs.)
Particulars Qtr 1 Qtr 2 Qtr 3 Qtr 4

Fees Per Qtr 30,000 30,000 30,000 30,000
Add : GST as applicable i.e. @ 18%
5,400 5,400 5,400 5,400
presently
Total Amount payable by Client as
35,400 35,400 35,400 35,400
Advisory Fee*
ILLUSTRATION FOR FEES TO BE CHARGED TO CLIENT ON ASSET UNDER ADVISORY

(AUA) MODE
Assumptions
a. The Advisory Fees is calculated at applicable rate on the daily weighted average value of Asset Under
Advice (AUA) in previous half year and shall be debited in beginning of next half year.
b. Advance Advisory fees (AAF) will be debited upfront as per the terms of this agreement on the renewal
date. AAF shall be shown as credit balance in your account. It will be calculated as same rate on
a. initial investment amount (for two quarters)
b. closing AUA of the previous calendar quarter (for subsequent two quarters)
c. Any shortfall/excess AAF compared with the credit balance of AAF at the beginning of the half year
with the Investment Advisor shall be added/reduced from the advisory fees as calculated above and after
levy of applicable GST, net balance shall be debited and collected from the Client.
d. Adjustment of Shortfall/Excess AAF are subject to rounding off to nearest hundred and/or tolerance
limits as may be decided by Investment Advisor from time to time.
e. Calculation given below is only as illustration for understanding the calculating methodology of
advisory fees/AAF and not the indicator of performance of AUA.

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
A Assumption for Calculation of Actual Advisory Fees and Advance Advisor Fees collection (AAF)
Working H6
Sr.No Particulars H1 H2 H3 H4 H5 Total
Opening AUA at
1 beginning of the - 600000 700000 600000 525000 -
half year
Additional
2 Investment/Inflow 500000 - 500000
during half year
Withdrawal
3 during the half - 200000 -100000 -200000 -500000 - -625000
year
Weighted
4 Average AUA for 550000 675000 650000 500000 400000 - 2775000
the half year
Closing AUA at
5 600000 700000 600000 525000 - -
end of half year
Closing AUA at
6 0.025 0.025 0.025 0.025 0.025 0.025
end of half year
B Advance Advisory Fees (AAF) calculation methodology (to be collected at inception/beginning of

next Half Year)
Sr.No Particulars Working H1 H2 H3 H4 H5 H6 Total

Op. Balance of
Credit Bal.of AAF
1 - 6250 7500 8750 7500 6562
in the Client's
account (Day 1)
AAF based on
2 (A2*A6) 6250 7500 8750 7500 6562 -
Opening AUA
Short AAF/
Excess AAF (-) to
be
3 (B1-B2) 6250 1250 1250 -1250 -938 -6562 -
collected/refunded
during the half
year
Cl. Balance of
Credit Bal. of
4 AAF in the 6250 7500 8750 7500 6562 -
Client's account
(Day last)

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
C Advisory Fees calculation on Previous Half Year Average AUA and AAF adjustments (to be
collected at beginning of next Half Year)
Sr.No Particulars Working H1 H2 H3 H4 H5 H6 Total

Advisory
Fees @
1 2.5% for (A4*A6) - 6876 8438 8126 6250 5000 34688
last Half
Year AUA
Add/Less :
Adjustment
2 B2 6250 1250 1250 -1250 -938 -6562 -
of Excess /
Short AAF
Total AAF +
Advisory
3 (C1+C2) 6250 8126 9688 9376 5312 -1562 34688
Fees (A2 +
B2)
Add : GST
as
4 (C3*18%) 1126 1462 1744 1238 956 -282 6244
applicable
i.e. @ 18%
Total
Amount
5 (C3+C4) 7376 9588 11432 8112 6268 -1844 40932
debited to
Client
IN WITNESS whereof the Parties have caused this Agreement to be executed in writing or by way of
Aadhar based OTP authentication / DSC / any other acceptable modes of valid execution acceptable under
the prevalent laws, from time to time. on the day and year first written above.
The Client hereby acknowledges to have fully understood the terms and conditions of the agreement,
has agreed with the risk profiling submitted by him / her and risk assessment thereof, confirms the
product features and risks associated with the investment products which are proposed to be advised
and pricing and its calculation and agrees with the same.
Signature

Date: Jul 23 2024

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
DECLARATION
To,
Abakkus Asset Manager LLP
Dear Sir / Madam,

Subject: Declaration by Investor
I, above named client, resident Individual of Address as per the KYC Form (Annexure B)(“Investor”)
hereby warrant that all the information and particulars given by me in this application are true and I have not
suppressed or hidden any fact whatsoever. I agree and undertake to immediately inform (“RIA or
Investment Adviser”) if there is change in any of the information given in this application including any
change in the risk profiler. I authorize the RIA to download/use/modify information from my
KRA/CKYC/Accredited Investor Status/PAN validation/Aadhar Seeding Validation for the purpose of the
said agreement without any changes and will duly inform RIA for any Change if any.
Further, I am not prohibited by SEBI, RBI or any other authority or judicial, regulatory or other body from
participating/ accessing in capital markets directly or indirectly. There are no investigations or similar
proceedings that are pending in relation to my existing investments in Securities, if any. I agree that I have
understood the risks that are associated with investing in the securities market. I confirm that the amount
invested and to be invested in Securities by availing advisory services of Investment Advisor is and will be
through legitimate sources only and does not and will not involve and is not and will not be designated for
the purpose of any contravention or evasion of the provisions of the Income Tax Act, 1961, Prevention of
Money Laundering Act, 2002, Fugitive Economic Offenders Act, 2018, Prevention of Corruption Act, 1988,
Foreign Exchange Management Act and/or any other Applicable Law as updated from time to time. I
hereby declare that I am not a politically exposed person or related to politically exposed person (PEP) and
that I am resident Indian citizen and am signing the agreement while in India and that I have approached the
Investment Advisor via the distributor / placement agent and / or any other third party directly on my own
without any direct or indirect action / solicitation / reference / placement of Investment Advisor.
Further, I do not hold a GST number/ I do not wish to avail credit on GST. I confirm that I have been
provided with the RIA Advisory product risks and features and relevant disclosures as per SEBI RIA
guidelines, Investor charter, Grievance mechanisms and I am made aware of the fees schedule/charges for
the said product.
Yours sincerely,
Sign of the Client

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
RISK PROFILE
Client Name: ABHISHEK KUMAR (ETHN676827)

Date of Submission: Jul 23 2024
Q1. What is your current Age
A. 31-40
Q2. How many months of expenses can your emergency funds cover?
A. >9 months
Q3. What percentage of monthly income can be invested?
A. 10-15%
Q4. When do you expect to liquidate your investment?
A. More than 7 Years
Q5. How many people depend on you financially?
A. 0
Q6. In order to achieve high returns I am willing to choose high risk investments.
A. Agree
Q7. What is your expected rate of return from your investments?
A. 10%
Q8. I would start to worry about my investments if my portfolio value falls
A. More than 40%
Q9. The maximum surplus in your current portfolio is parked into
A. Savings & FD
Q10. I prefer to keep capital safe rather than have high returns
A. Neutral
Q11. What is your primary investment objective?
A. Future Lifestyle Improvement
Q12. What is your annual take home income?

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
A. More than 30L
Q13. What percentage of your take home income goes into repaying your liabilities?
A. <20%
Risk Score: 87.00
Risk Profile: Aggressive
Each question gets the user points. You get scored on each of these questions, and a total risk score is
generated. There are buckets corresponding to each of the three risk profiles (Conservative, Moderately
Conservative, Moderate, Moderately Aggressive, Aggressive). Which of these buckets your score lies in
tells us about your risk profile
Moderately Moderately
Conservative Moderate Aggressive
Conservative Aggressive
13-20 35-55 83-117
21-34 56-82

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
RISK DEVIATION DECLARATION
To
Dear Sir/ Madam,

This is with reference to my investments based on advice from Abakkus Smart/Abakkus Investment
Advisors (separately identifiable division of Abakkus Asset Manager LLP). We would also like to refer to
the risk profile questionnaire filled by us wherein the risk score aggregated is 87.00 and accordingly I have
been categorized as Aggressive, while the product chosen by me has High Risk/Aggressive profile
categorization.
I confirm and agree that though my risk score aggregated, and Risk Profile mentioned aforesaid, the
decision to invest into product & services offered by Abakkus Asset Manager LLP and/or referred or
distributed by its partners has/ have been taken by me only after reading and having understood all the risk
factors mentioned in the Agreement. I hereby confirm that such investment categorized as high
risk/Aggressive is in accordance with my personal needs and I am availing in the service basis my / our
professional skills, judgement and my own assessment of the risk involved in the portfolio and is suitable for
me in all aspects.
Further, I hereby confirm and agree that in case of any change in the details that are relevant to my risk
profile, I will immediately inform Abakkus Asset Manager LLP about the same to reassess my risk profile.
Additionally, I confirm that I do not have any investment policy in place. Thus, the Investment Advisor may
rely on the risk profile for the said purpose. Any changes in the information provided for the risk profiler as
well as any changes that may affect the risk score derived by the risk profiler shall be communicated to the
Investment Manager as soon as possible.
Sign of the client

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Family Declaration
To,
Sub: Declaration for Family of Client

Dear Sir/Madam,
I hereby declare that none of my Family members* will be availing/wish to avail the Investment Advisory
services of Abakkus Asset Manager LLP. I shall be the sole individual availing the Investment Advisory
Services of Abakkus Asset Manager LLP.
Further, I request that mobile number and email id provided by me and reproduced in Annexure B,
belonging to me / undersigned shall be considered in your records for the purpose of receiving
communication from you with regards to details of investment advice/reports or any other communication
from time to time. This facility shall be provided to me/us as an exception, for my / our convenience of
receiving details at a single mobile number and e-mail id.
I confirm that the above-mentioned declaration is true and correct. The above details shall be deemed valid
till any change is requested by me. I undertake to bear any consequences arise in case above information of
Family members, mobile no. and or Email id found to be incorrect.
Please Note: Declaration is to be signed by "self"

*Family members shall mean dependent spouse, dependent children and dependent parents whose assets on
which investment advisory is sought/provided, originate from income of the undersigned.

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
ANNEXURE – B
CLIENT KYC FORM
NAME: ABHISHEK KUMAR
ADDRESS: SO RAM SHANKAR RAY ANAND NAGAR ITKIROAD HEHAL OPPOSITE

ICEFACTORY HEHAL RATU HEHAL RANCHI JHARKHAND, RANCHI, 834005, JHARKHAND
EMAIL: ABHISHEK.ISI2008@GMAIL.COM
CONTACT NUMBER: 8981757278
PAN: BZVPK2843Q
DATE OF BIRTH: 27 Mar 1990
CLIENT CODE: ETHN676827
BROKER NAME/DISTRIBUTOR: MOTILAL OSWAL FINANCIAL SERVICES LIMITED
PEP OR RELATED TO PEP: N

(YES- Y/ NO- N)
Terms and Conditions:

1. I/we hereby declare that the details mentioned above are true and correct to the best of my/our knowledge
and belief and I/we undertake to inform you of any changes therein, immediately. In case any of the above
information is found to be false or untrue or misleading or misrepresenting, I/we are aware that I/ we may
be held liable for it.
2. All communications shall be sent at the address mentioned above.

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
RIA Disclosure Document
Release Date: April 02, 2024

Updated RIA disclosure document is available at
https://abakkusinvest.com/regulatory-disclosure/
Abakkus Investment Advisors (a division of Abakkus Asset Manager LLP) providing Investment
Advisory Services under the brand Abakkus Smart
Non-Individual Investment Adviser Registration no. INA000015729
BASL Membership ID: BASL1093
LLP Identification Number: AAM-2364
Validity of Registration: – Feb 03, 2021 - Perpetual
Registered Office Address: Abakkus Corporate Center, 6th Floor, Param House, Shanti Nagar, Near
Grand Hyatt, Off Santacruz Chembur Link Road, Santacruz East, Mumbai – 400055, +91 22 6884 6600
Contact: +91 (22) 6884 6600
Disclaimers:
• Investments in securities markets are subject to market risks. Read all the related documents carefully
before investing.
• Registration granted by SEBI, membership of BASL and certification from NISM in no way guarantee
performance of the intermediary or provide any assurance of returns to investors.
• The securities quoted are for illustration only and are not recommendatory.
• Any performance depictions are for illustration purposes only and such past performance may or may not
sustain in future.
• This Key Information and Disclosure Document has been prepared inter-alia in pursuant to regulation 15
and 18 of the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013, as amended
from time to time (the Regulations) and the Circulars, Guidelines and instructions issued by SEBI
thereunder from time to time.
• This document is intended only for the personal use of the prospective investors to whom it is addressed
or delivered and must not be reproduced or redistributed in any form to any other person without prior
written consent of Abakkus Asset Manager LLP (the “Investment Advisor”).
• This document does not purport to be all-inclusive / comprehensive, nor does it contain all the
information which a prospective investor may desire for making decisions for engaging the Investment
Advisor.
KEY INFORMATION AND DISCLOSURE DOCUMENT FOR INVESTMENT ADVISORY

SERVICES UNDERTAKEN BY ABAKKUS ASSET MANAGER LLP (through its Investment
Advisory Division known as “Abakkus Investment Advisors” under the Brand Name “Abakkus
Smart”.)
• The purpose of the Key Information and Disclosure Document is to provide essential information about
the investment advisory services in a manner to assist and enable the Investors in making decisions for
engaging an investment advisor.
• The necessary information about the Investment Advisor is disclosed in this Disclosure Document and
the Investor is advised to carefully read the entire document and is advised to retain it for future reference.
• Investors may view this updated document at https://abakkusinvest.com/regulatory-disclosure/ of the
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Investment Advisor.
History, Present Business and Background
Abakkus Asset Manager LLP (“Abakkus”) is registered as an Investment Advisor under SEBI (Investment
Advisors) Regulations, 2013 as amended from time to time and the Circulars and Guidelines issued there
under from time to time vide SEBI Reg. No.: INA000015729 dated February 03, 2021. Abakkus is also
registered as a Portfolio Manager with SEBI under SEBI (Portfolio Managers) Regulations, 2020 as
amended from time to time and the Circulars and Guidelines issued there under from time to time vide SEBI
Reg. No.: INP000006457 dated March 14, 2019. Abakkus is also acts as an Investment Manager to
Abakkus Growth Fund, a SEBI registered Category III AIF vide SEBI Reg. No.: IN/AIF3/18-19/0550
dated June 05, 2018, India-Ahead Venture Trust, a SEBI registered Category I AIF vide SEBI Reg. No.:
IN/AIF1/21- 22/0976 dated January 25, 2022, India-Ahead Private Equity Trust, a SEBI registered
Category II AIF vide SEBI Reg. No.: IN/AIF2/21-22/0980 dated January 27, 2022, Abakkus India Equity
Fund, a SEBI registered Category III AIF vide SEBI Reg. No.: IN/AIF3/23-24/1326 under SEBI
(Alternative Investment Fund) Regulations, 2012 as amended from time to time and the Circulars and
Guidelines issued there under from time to time collectively referred as the SEBI Registered Intermediary.
Additionally, branch office of Abakkus at IFSC GIFT City is registered as a Fund Management Entity (Non-
Retail) under International Financial Services Centers Authority (Fund Management) Regulations 2022
(registered with effect from November 01, 2022)
Partners Name: (i) Mr. Sunil Singhania
Sunil Singhania is the founder of Abakkus Asset Manager LLP, an India-focused Asset Management
Company established in 2018.
Sunil Singhania, CA and CFA Charter Holder, founder of Abakkus Asset Manager LLP was rated among
the Best fund managers by Outlook Business in 2016 and 2017 over a 10 year time frame. He was the first
Indian to be appointed on the Global Board of CFA institute, USA (2013-2019). Currently he is the only
Indian to be appointed on the IFRS Capital Market Advisory Committee (CMAC) (2020-2023). He was
Chief Investment Officer (CIO), Equities of Reliance Nippon Asset Management (now Nippon Life India
Asset Management) overseeing – USD 11 billion of equity asset. He was also an Honorary Chairman of
Investment committee of CFA Institute (2018-2019) managing – USD 450 million.Mr. Singhania graduated
in commerce from the Bombay University and completed his Chartered Accountancy from the Institute of
Chartered Accountants of India, New Delhi (ICAI) with an all-India rank. He has also earned the right to use
the Chartered Financial Analyst designation, conferred by CFA Institute. Having travelled extensively
across the world, Singhania has also attended many global investment conferences and seminars.
(ii) Abakkus Expert Professionals Private Limited: Abakkus Expert Professionals Private Limited is a
private company, incorporated on February 20, 2018, in Mumbai. Its main objects are to act as financial
consultants, management consultants, and provide advice, services, consultancy in various fields viz.
general, administrative, secretarial, commercial, financial, and legal. Mr. Biharilal Deora is acting as the
representative/nominee of Abakkus Expert Professionals Private Limited.
Affiliation with other intermediaries
There are no affiliations with other intermediaries except that Abakkus has empaneled various financial
intermediaries and / or financial institutions and / or individuals for promoting / distributing its various
financial product offerings including availing theirs advisory / on-boarding platform(s).
Disciplinary History / Complaint Status
1 Administrative warning issued by SEBI vide letter dated December 07, 2023 in name of India-Ahead
Venture Trust ("Trust"), Abakkus Asset Manager LLP, in capacity of Investment Manager of the Trust and
its KMP for delayed filing of Quarterly Activity Report with SEBI for quarter ended March 2023.
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Investment Manager has submitted the representation letter dated December 14, 2023 with SEBI. The said
representation letter is under consideration with SEBI.
2 Administrative warning issued by SEBI vide letter dated January 10, 2024 in the name of Abakkus
Growth Fund, Abakkus Asset Manager LLP in capacity of Investment Manager of the Trust and its KMP for
delayed filing of Quarterly Activity Report with SEBI for quarter ended December 2022 and March 2023.
Investment Manager has submitted the representation letter dated January 19, 2024 with SEBI. The said
representation letter is under consideration with SEBI.
i. 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 Abakkus or its Partners,
or employees except for the foregoing.
ii. For latest update on complaints kindly visit website: https://abakkusinvest.com/regulatory-disclosure/
Services offered and terms of offerings
a. The Investment Adviser shall provide investment advice to the Clients relating to investing, purchasing,
selling, or dealing in securities or investment products/asset classes such as shares, debentures, bonds,
b. The Investment Adviser provides advice on investment portfolio containing or any other investment
product suitable to the Client’s needs and on-going monitoring, periodic review, asset allocation and
financial planning including analysis of Clients’ financial position, identification of its financial goals and
developing and recommending financial strategies to realise such goals.
c. Investment Adviser undertakes that all such Investment Advisory services shall be offered to the client
with no binding whatsoever and client shall be free to implement or execute the services with any
distributor/broker/intermediary of his/her/its choice.
d. The performance / returns of the stock advised across individual portfolios may vary significantly from
the data depicted by the Investment Advisor. The data depicted by the Investment Advisor is not verified by
any regulatory authority and does not provide any guarantee of returns or performance. Investment advisor
does not provide any guarantee on the future performance. No claims may be made or entertained for any
variances between the performance depictions and that of the stock within individual client portfolios.
Neither the Investment Adviser, nor its Partners, employees, affiliates shall in any way be liable for any
variation noticed in the returns of individual portfolios. Performance of Abakkus shall have no bearing on
the expected performance of an Individual Client Portfolio. Abakkus also does not guarantee or assure any
minimum or risk-free returns. Past performance of the financial products, instruments and the securities
advised by Abakkus may or may not be sustained in future and should not be used as a basis for comparison
with other investments.
e. The above services offered by Abakkus can also be availed by Accredited Investor(s) subject to meeting
the eligibility criteria, obtaining accreditation status from the Accreditation Agency and complying with the
requirements as detailed in the framework for Accredited Investors available on the website of the Abakkus
at Abakkus (abakkusinvest.com) or ria.abakkusinvest.com
Risk Factors
The value of the investments and the expected returns may be affected generally by factors affecting
financial and securities markets, such as price and volume, volatility in interest rates, currency exchange
rates, changes in regulatory and administrative policies of the Government or any other appropriate authority
(including tax laws) or other political, economic, and other developments as detailed below:
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
• Portfolio Entities/ Companies Risk: The performance of the model portfolio will depend upon the
business performance of the Portfolio Entities and Companies and its prospects. Investment Advisor focuses
on studying the business and the sustainability with focus on studying the balance sheet will help the
Investment Advisor in mitigating these sector or company risks.
• Valuation Risk: Investment Advisor will assess the Portfolio Entities from varied valuation parameters
in order to establish whether the valuations are reasonable while creating the model portfolio and reassess
the same from time to time.
• Market Risk: Investment Advisor endeavours to create a portfolio of Entities /Companies using bottom-
up fundamental research rather than trying to time the markets. However, in order to mitigate Market Risk,
the Investment Advisor will monitor and analyse the market and economic circumstances from time to time
that may affect the performance of the Portfolio Entities.
• Liquidity Risk: While investing in equities and Portfolio Entities, liquidity constraints are potential
near-term risk while investing and disinvesting the Portfolio Entities. The Investment Advisor endeavours to
mitigate the risks by investing creating a portfolio with a medium to long term time horizon.
• Service Provider Risk: Investment Advisor is reliant upon the performance of third-party service
providers for their functions. Weak control over technology used in the third-party arrangement may result
in threats to security and the integrity of systems and resources, which can have materially detrimental
impact upon the operations of the Abakkus. These issues could result in unauthorized transactions or the
inability to transact business as expected. The Investment Advisor endeavours to mitigate these risks by
entering into the arrangement with regulated entities and/or incorporating indemnity clause in agreement
entered with service providers.
• Other Risks: The advisory portfolio offered by the Investment Advisor is suitable for clients with
“Aggressive”/ “High Risk” risk profile. The Investment Advisory does not offer any assured / guaranteed
returns. Investment in securities market are subject to market risks. Read all the related documents carefully
before investing.
Abakkus is not liable or responsible for any loss or shortfall resulting on account of Non-Discretionary
Investment Advice. This document represents the views of Abakkus and should not be taken as the basis for
an investment decision.
Holdings and Disclosure of Interest
Abakkus or its affiliates or employees/partners or funds advised/managed by Abakkus may have same or
contra positions in personal or fiduciary capacity the above securities/stocks. Investors should take caution
while executing the advice based on their risk/return profile and suitability.
Conflict of Interest
Considering Abakkus Asset Manager LLP (Abakkus) is acting as Portfolio Manager, Investment Manager
and also providing advisory services, a potential conflict of interest could be perceived between the
investments and disinvestments undertaken by the Investment Manager for the schemes/funds of Alternative
Investment Fund (AIF) and various investment approach(es) under the Portfolio Management Services
(PMS) and investments and disinvestments advise (RIA) provided to investment advisory clients.
The conflicts of interest may arise in relation to the various activities carried out by Abakkus and its
affiliate/group entities and their respective directors/partners, officers employees, agents, it’s associates/
affiliates/ group companies and their respective directors/officers/employees/agents (collectively, the
Relevant Parties) which are engaged in broad spectrum of activities in the financial sector.
There could be multiple portfolios/schemes/funds, domiciled globally, under the management of Abakkus
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Asset Manager LLP as a Portfolio Manager/Investment Manager/Advisor to other funds/approaches and/or
any of the Relevant Parties, domiciled globally, thereby presenting possibility of conflict of interest in
allocating investment opportunities amongst the various portfolios. Abakkus will endeavour to resolve any
such conflicts in a reasonable manner as it deems fit.
The Relevant Party(ies) shall exercise a standard of good faith in their dealings with the various activities
and any of its investee entities. Abakkus will be transparent and make disclosures with respect to conflicts of
interest situation that Abakkus determines may have arisen (or which seem likely to arise) between the
Relevant Parties and the various activities of Abakkus (or any of its investee entities).
Abakkus maintains and operates effective organisational and administrative arrangements with the view of
taking all reasonable steps to identify, continuously monitor and manage conflicts of interest. Some of the
potential conflicts of interest situations are provided below. It is not intended to provide a comprehensive list
of conflicts of interest or account of the processes and procedures which Abakkus adopts in connection with
the management of conflicts of interest but is instead intended to be a statement of principles with which
Abakkus seeks to manage foreseeable conflicts of interest. Abakkus may identify additional conflicts of
interest situations from time to time, which will be managed/mitigated with the help of the principles
identified herein and by also taking into account further processes which Abakkus may develop over the
period of time. The following are the potential conflicts of interest situations that may arise:
• The Relevant Parties providing services to the investor will have, in addition to their responsibilities for
the investor, responsibilities for other companies, projects and clients. Accordingly, they may have conflicts
of interests in allocating management time and other resources amongst the various activities of Abakkus
and such other projects and clients.
• Abakkus and/or any of the Relevant Parties can act as manager/advisor to any of the Portfolio Entity/ies,
charge fee for the services rendered to them, provide broad range of financial services, from time to time
and earn fee in addition to the fee charged to the investor.
• Abakkus, as investment manager of the AIF or as Portfolio Manager or Investment Advisor, may affect
transactions in securities and/or provide services to investee entities in respect of which any of its
affiliate/group company may benefit from a commission or fee.
• Abakkus and/or any of the Relevant Parties, while managing the funds of investor, may from time-to-
time effect transactions in securities in which Abakkus may have a financial or other business interest.
• Abakkus and/or any of the Relevant Parties and/or its advisory clients or managed clients like AIF/FPI
may have existing similar or contra positions in the stocks/ recommended in the client's account and may
execute their trades at different timeline based on their execution strategy which may not match with trade
execution in the AIF/PMS/RIA.
• Abakkus may or may not have a similar position as fund/scheme/approach/advise in its other
products/services/funds/vehicle where it acts as investment manager/portfolio manager/advisor.
• Certain Relevant Parties may also serve as employees or partner(s) /director(s) of the company within the
group. In such situations, the employee or partner is considered to be in a “dual hat” situation, which may
result in conflicts of interest due to duties to differing entities.
• The attorneys, accountants, and other professionals, who perform services for Abakkus may, and in some
cases do, also perform services for the Relevant Parties.
• At the level of Abakkus

There cannot be any assurance that an investment opportunity that comes to the attention of Abakkus will be
referred or otherwise made available to the fund/scheme/approach/advise. Investment opportunities
identified may be suitable for the fund/scheme/approach/Investment Advise and/or a Relevant Party.
Abakkus will endeavour to resolve any such conflicts in a reasonable manner taking into account such
factors as it may consider relevant including investment strategy and objectives, investment policy, sector
focus, deal size, regulatory and tax considerations, etc. However, there can be no assurance that the
fund/approach shall be allocated any particular investment opportunities that are identified.
• At the level of Abakkus Fund Sponsors LLP (“Sponsor”)

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
The Sponsor of the fund may act as sponsor of other funds and will be required to maintain a continuing
interest with such funds. Accordingly, they may have conflicts of interests in allocating resources and time
for such funds.
• At the level of the Investor

The investors, apart from investing in the AIF, PMS and/or RIA, may also invest in the companies where the
fund/scheme/approach/advise has also invested or advised to invest at the differential terms than that of the
fund/scheme/approach. Such investment of the investors may conflict with the investment of the
fund/scheme/approach/advise.
• At the level of members of various governance bodies

The members of the Investment Committee or any other board or committee of Abakkus, in addition to their
responsibilities for the fund/scheme/approach/advise, will have responsibilities for other funds, projects and
clients. Accordingly, allocating management time and other resources among the
fund/scheme/approach/advise and such other funds, projects and clients can be a challenge.
• At the level of the Sponsor and/or Investment Manager group entity, in relation to various schemes
managed by the Sponsor and/or Investment Manager
The Investment Manager, Sponsor, and their affiliates, subject to Applicable Laws, may be involved in a
variety of advisory, management and investment-related activities including management of other funds in
future. The fund shall not have any rights in or to any cash receipts or profits of the Investment Manager,
Sponsor, and any of their affiliates. The Investment Manager, Sponsor and any of their affiliate/group
entities may, from time to time, act as investment managers or advisers to other entities, companies, or funds
other than the fund. It is therefore possible that the Investment Manager, Sponsor, and their affiliates may in
the course of their business have potential conflicts of interest inter-se different activities.
• Investments in Investee Entities in which Relevant Parties have Interests

Abakkus while acting as the investment manager, portfolio manager or investment advisor of the
AIF/PMS/RIA may from time-to-time effect transactions in securities issued by a investee entity that is
otherwise a (i) client or (ii) investee company of any of the affiliate/associate/group companies of Abakkus
or of the team of Abakkus. It may also effect transactions by the fund/approach in securities in which an
affiliate/associate/group company may have a financial or other commercial interest at any time;
• Purchase from and sale of investments to Relevant Parties

Abakkus may purchase investments from or sell investments to Relevant Parties. In such cases, conflicts
may arise in determining the price and terms of the sale or purchase as the case may be;
• Board of Fund Investment

As part of its investment methodology, Abakkus may require investee entities to grant to the fund/Abakkus a
seat on the boards of directors of such investee entities. The seat will be filled by a nominee of Abakkus. As
a consequence, such persons will have fiduciary and other duties to the investee entity, which may conflict
with the interests of the fund/Abakkus;
• Conflict in case of warehousing

The Investment Manager/Sponsor and/or its associates/affiliates may make warehoused investments in
Portfolio Entities. The transfer of such warehoused investments to the fund is expected to be at such price as
the Investment Manager may decide in accordance with this Memorandum, which may not necessarily
reflect an accurate intrinsic value of the warehoused investment.
• Conflict in case of co-investment

Co-Investment by the eligible investors alongside the fund is seen as a positive and motivating factor for
such investors. However, conflicts of interest can occur if the eligible investor is permitted to invest on a
deal-by-deal basis and/or on different terms to those offered to fund. Sometimes, providing a Co-Investment
opportunity to the eligible investor might result in dilution of stake of the fund in the investee entity. The
eligible investor may employ a person on the advisory board of such investee entity and may involve in
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
decision making along with the Fund.
Conflict of interest would be inherent between the activities of the Portfolio Manager, investee entity/ies and
the Relevant Parties. Abakkus has adopted, inter alia, certain policies and procedures intended to protect the
interest of all the investors. It is intended for such conflicts to be managed primarily by complying with the
applicable laws, acting in good faith to develop equitable resolutions of known conflicts and developing
policies to reduce the possibilities of such conflict. The Investment Manager/Portfolio Manager/Adviser
shall ensure fair treatment to all its clients in case of conflicts of interest. The protection of the investors’
interests is Abakkus’s foremost priority. The conflict-of-interest situation may adversely affect the interest
of the investors and the investor may lose its capital contribution due to such conflict of interest. The
investor acknowledges the existence of risk arising out of conflict of interest.
The Client shall not be under any obligation to avail the execution, or any other such services offered by
Abakkus Smart or Abakkus Investment Advisors, the division of Abakkus or affiliate of Abakkus. All fees
and charges, wherever applicable, for such services shall be paid directly to execution service providers and
not through the Investment Advisor.
Client Level Segregation
In compliance with Regulation 22 of the SEBI (Investment Advisers) Regulations, 2013 Abakkus has
maintained client level segregation at the group level.
Sr. No. Financial Year Client Level Segregation Certificate Remarks, if any
1 FY 2021-22 Obtained None
2 FY 2022-23 Obtained None
3 FY 2023-24 In process None
Annual Audit
Sr. No. Financial Year Compliance Audit Status Remarks, if any

1 FY 2021-22 Conducted None
2 FY 2022-23 Conducted None
3 FY 2023-24 In process None
Other Disclosures
This document is intended only for the personal use of the prospective investors/contributors (herein after
referred as the Clients) to whom it is addressed or delivered and must not be reproduced or redistributed in
any form to any other person without prior written consent of Abakkus. This document does not purport to
be all-inclusive, nor does it contain all of the information which a prospective investor may desire. This
document is neither approved, certified nor its contents is verified by SEBI.
The Abakkus retains all the rights in relation to all information contained in the document(s) and to update
the same periodically or otherwise from time to time. The document is provided on
personal/confidential/issued on a Private Placement basis and the document is neither a general offer nor
solicitation to avail the service of investment from the SEBI Registered Intermediary under the services
offered by the Abakkus /Fund nor is it an offer to sell or a generally solicit an offer to become an investor in
the services offered by the Abakkus /Fund. The delivery of this document at any time does not imply that
information herein is correct as of any time subsequent to its date. The contents of this document are
provisional and may be subject to change. In the preparation of the material contained in this document, the
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Abakkus has used information that is publicly available, certain research reports including information
developed in-house. The Abakkus warrants that the contents of this document are true to the best of its
knowledge, however, assume no liability for the relevance, accuracy or completeness of the contents herein.
The Abakkus declares that the data and analysis provided shall be for informational purposes. The
information contained in the analysis shall been obtained from various sources and reasonable care would be
taken to ensure sources of data to be accurate and reliable. The Abakkus will not be responsible for any error
or omission in the data or for any losses suffered on account of information contained in the analysis. While
the Abakkus will take due care to ensure that all information provided is accurate however the Abakkus
neither guarantees/warrants the sequence, accuracy, completeness, or timeliness of the report. Neither the
Abakkus nor its affiliates or their partners, directors, employees, agents, or representatives, shall be
responsible or liable in any manner, directly or indirectly, for views or opinions expressed in this analysis or
the contents or any systemic errors or discrepancies or for any decisions or actions taken in reliance on the
analysis. The Abakkus does not take any responsibility for any clerical, computational, systemic, or other
errors in comparison analysis.
There can be no assurance that future results, performance or events will be consistent with the information
provided in this document and the past performance, if any is not the guarantee of the future/assured
performance. Any decision or action taken by the recipient of the document based on this information shall
be solely and entirely at the risk of the recipient of the document. The distribution of this information in
some jurisdictions may be restricted and/or prohibited by law, and persons into whose possession this
information comes should inform themselves about such restriction and/or prohibition and observe any such
restrictions and/or prohibition. Unauthorized disclosure, use, publication, dissemination or copying (either
whole or partial) of this information, is prohibited. The Abakkus shall not treat recipient/user as a client by
virtue of his receiving/using the contents of the document in full or part. Neither the Abakkus nor its
affiliates, directors, partners, employees, agents, or representatives, shall be responsible or liable in any
manner, directly or indirectly, for the contents or any errors or discrepancies herein or for any decisions or
actions taken in reliance on the information. The person accessing this information specifically agrees to
exempt/absolve the Abakkus or any of its affiliates or employees from, any and all responsibility/liability
arising from such misuse/improper/ illegal use and agrees not to hold the Abakkus or any of its affiliates or
employees responsible for any such misuse/improper/illegal use and further agrees to hold the Abakkus or
any of its affiliates or employees free and harmless from all losses, costs, damages, expenses that may be
suffered by the person accessing this information due to any errors and delays.
The Abakkus (including its affiliates) and any of its Partners, officers, employees, and other personnel will
not accept any liability, loss, damage of any nature, including but not limited to direct, indirect, punitive,
special, exemplary, consequential, as also any loss of profit in any way arising from the use of this document
or any information in any manner whatsoever.
This document may include certain forward-looking words, statements and scenario which contain words or
phrases such as “believe”, “expect”, “anticipate”, “estimate”, “intend”, “plan”, “objective”, “goal”,
“project”, "endeavor" and similar expressions or variations of such expressions that are forward-looking
statements, words, and scenario. Actual results may differ materially from those suggested by the forward-
looking statements due to risks, uncertainties, or assumptions. The Abakkus takes no responsibility of
updating any data/information.
This document cannot be copied, reproduced, in whole or in part or otherwise distributed without prior
written approval of the Abakkus.
Prospective investors/clients are advised to review this Document, the Private Placement
Memorandum/Disclosure Document, the Contribution Agreement/Client Agreement, representations and
presentation(s) and other related documents carefully and in its entirety and seek clarification wherever
required from the SEBI Registered Intermediary/ Abakkus. Prospective investors should make an
independent assessment, and consult their own counsel, business advisor and tax advisor as to legal,
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
business and tax related matters concerning this document and the other related documents before becoming
investing with /though the Abakkus /in the Fund.
The information contained in this document has been prepared for general guidance and does not constitute
a professional advice/assurance and no person should act upon any information contained herein without
obtaining specific professional advice/Assurance. Neither the Abakkus nor its Affiliates or advisors would
be held responsible for any reliance placed on the content of this document or for any decision based on it.
Each existing/prospective client, by accepting delivery of this document agrees to the foregoing. The
Investment portfolio are subject to several risk factors including but not limited to political, legal, social,
economic, and overall market risks. The recipient alone shall be fully responsible/are liable for any decision
taken on the basis of this document. The Abakkus, its partners, employees, PMS clients, AIF scheme(s),
Advisory clients may have existing exposure to the stocks that form part of the PMS portfolio/Advisory
portfolio/AIF scheme(s). Further, in view of the investment objective/strategy of the PMS /Advisory and
AIF scheme(s) there may be situations where Abakkus may be selling a stock which is part of the PMS
portfolio/Advisory portfolio/AIF scheme as the case may be.
The Abakkus (including its affiliates) may offer services in nature of advisory, consultancy, portfolio
management, sponsorship of funds, investment management of funds which may conflict with each other.
The Abakkus operates from within India and is subject to Indian laws and any dispute shall be resolved in
the courts of Mumbai, Maharashtra only.
All regulatory disclosures with respect to the LLP are available at https://abakkusinvest.com/regulatory-
disclosure/
Complaint and Grievance Redressal
31.1. The Client shall first take up his/her/their grievance with the Investment Adviser by lodging a
complaint directly with the Investment Adviser.
31.2. The Investment Adviser shall address such grievance promptly within a time period of 21 (twenty-
one) calendar days from the date of receipt of the grievance.
31.3. If the grievance is not redressed satisfactorily, the Client may, in accordance with the SCORES
guidelines, escalate the same through the SCORES Portal at https://scores.sebi.gov.in or to SEBI office. The
SCORES registration number is IADA3186.
The complaint shall be lodged on SCORES within one year from the date of cause of action, where –
a. The complainant has approached the Investment Adviser, for redressal of the complaint and the
Investment Adviser has rejected the complaint or,
b. The complainant has not received any communication from Investment Adviser or,
c. The complainant is not satisfied with the reply received or the redressal action taken by the Investment
Adviser.
31.4. If the Client is not satisfied with the extent of redressal of grievance by the Investment Adviser, there
is a one-time option for ‘review’ of the extent of the redressal, which can be exercised within 15 (fifteen)
days from the date of closure of the complaint on SCORES.
31.5. After exhausting these options for resolution of the grievance, if the Client is still not satisfied with
the outcome, he/she/they can initiate dispute resolution through the ODR Portal at https://smartodr.in/login .
The client(s) can also directly initiate dispute resolution through the ODR Portal if the grievance lodged
with the Investment Adviser is not satisfactorily resolved at any stage of the subsequent escalations
mentioned above.
31.6. Further, the dispute resolution through the ODR Portal can be initiated when the complaint/dispute is
not under consideration:
i. in terms of the paragraph 1 and 3 above;
ii. not pending before any arbitral process, court, tribunal or consumer forum or are non-arbitrable in terms
of Indian law (including when moratorium under the Insolvency and Bankruptcy Code is in operation due to
the insolvency process or if liquidation or winding up process has been commenced against the Market
Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI
Participant).
Alternatively, the Client can directly initiate dispute resolution through the ODR Portal, if the grievance
lodged with the Investment Adviser is not satisfactorily resolved or at any stage of the subsequent
escalations mentioned above.
The Website of the IA has a link (https://abakkusinvest.com/regulatory-disclosure/) to access the SEBI
Master Circular and the ODR Portal.
Complete name of Investment Adviser as registered with SEBI: Abakkus Asset Manager LLP
Type of Registration: Non-individual
Registration Number with validity: INA000015729 (valid until cancelled)
BASL Membership ID: 1093
LLPIN: AAM-2364
Brand Name: Abakkus Smart
Complete address with telephone numbers: Abakkus Corporate Center, 6th Floor, Param House, Shanti
Nagar, Near Grand Hyatt, Off Santacruz Chembur Link Road, Santacruz East, Mumbai – 400055
Phone no. +91 22 6884 6600
Contact Details of Principal Officer:

Mr. Biharilal Deora
Phone no. +91 22 6884 6600
Email - biharilal.deora@abakkusinvest.com
Contact Details of Compliance Officer/Grievance Officer:

Mr. Lijo Varghese
Phone no. +91 22 6884 6699
For Queries/Grievances - Email - lijo.varghese@abakkusinvest.com/complianceteam@abakkusinvest.com
Investor Charter is available here: Investor-Charter_RIA.pdf (abakkusinvest.com)
Corresponding SEBI regional/local office address:

Market Intermediaries Regulation and Supervision Department (MIRSD)
Securities and Exchange Board of India,
SEBI Bhavan, Plot No. C4- A, ‘G Block’,
Bandra Kurla Complex, Bandra (East),
Mumbai - 400 051
Regional / Local office address can be found at
https://www.sebi.gov.in/contact-us.html#contact-us-main
Contact Us:
Website: www.abakkusinvest.com | Email: ria@abakkusinvest.com | Tel: 022-68846600

Digitally Signed.
Date: 23-Jul-2024 20:29:44
Location: MUMBAI

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Abakkus Investment Advisors (a division of Abakkus Asset Manager LLP) providing Investment

Advisory Services under the brand Abakkus Smart

Details of Principal Officer

Details of Compliance Officer

Details of Grievance Officer

Signature Not Verified

DATED THIS DAY OF Jul 23 2024,

ABAKKUS ASSET MANAGER LLP (the “Investment Adviser”)

INVESTMENT ADVISORY SERVICES AGREEMENT

(B) Investment Adviser hereby declares that:

(i) Assets under Advice (AUA) mode

(ii) Fixed fee mode

General conditions common under both modes

(D) FEES CHARGED TO THE CLIENT.

Particular Basis of Calculation Frequency

THIS INVESTMENT ADVISORY SERVICES AGREEMENT (“Agreement”) is made at Mumbai on

1. DEFINITIONS AND INTERPRETATIONS

“Effective Date” means the date of this Agreement.

“Force Majeure” shall have the meaning ascribed to it in Clause 16.

1.2 In this Agreement, unless the context otherwise requires:

4. FUNCTIONS OF THE INVESTMENT ADVISER

5. INVESTMENT OBJECTIVE AND GUIDELINES

6. OWNERSHIP OF ASSETS OF THE CLIENT

8. RIGHTS OF THE CLIENT

9. OBLIGATIONS/RESPONSIBILITIES OF THE CLIENT

12. FEES, CHARGES AND TERMS OF BILLING

13. RISK FACTORS

15. LIABILITY OF INVESTMENT ADVISER

15.5 The Investment Adviser does not in any manner:–

18.1 Representations and warranties by the Client

(i) Any law, rule, regulation to which it is subject to; or

(ii) Any order, judgment or decree applicable to it; or

18.2 Representations of the Investment Adviser:

19. DISCLOSURES PERTAINING TO CONFLICTS OF INTEREST

Signature Not Verified

23. REPRESENTATIONS AND COVENANTS

24.NO RIGHT TO SEEK POWER OF ATTORNEY

25. MAINTENANCE OF ACCOUNTS

To Investment Advisor: Abakkus Asset Manager LLP,

To The Client – As mentioned in Client KYC Form (Annexure B)

30. GOVERNING LAW AND JURISDICTION

31. REDRESSAL OF CLIENT GRIEVANCES

32. PROTECTION OF ACT DONE IN GOOD FAITH

33. DISPUTE SETTLEMENT MECHANISM AND ARBITRATION

The process of settlement dispute and arbitration is available at: https://abakkusinvest.com/regulatory-

Signature Not Verified

Particulars Qtr 1 Qtr 2 Qtr 3 Qtr 4

ILLUSTRATION FOR FEES TO BE CHARGED TO CLIENT ON ASSET UNDER ADVISORY

Signature Not Verified

B Advance Advisory Fees (AAF) calculation methodology (to be collected at inception/beginning of

Sr.No Particulars Working H1 H2 H3 H4 H5 H6 Total

Signature Not Verified

Sr.No Particulars Working H1 H2 H3 H4 H5 H6 Total

Name: ABHISHEK KUMAR

Signature Not Verified

Dear Sir / Madam,

Sign of the Client

Signature Not Verified

Client Name: ABHISHEK KUMAR (ETHN676827)

Q1. What is your current Age