Our Process & Internal Control Framework

This document outlines our Process & Internal Control Framework for Mutual Fund and SIF Distribution and provides an overview of the processes, controls, and standards we follow in our day-to-day operations.

We encourage all our investors to read this document carefully to understand our role, processes, client servicing practices, transaction controls, and compliance framework, and to know us better.

Our objective is to maintain transparency, accountability, consistency, and compliance in all our dealings with investors.

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Risk Factors – Investments in Mutual Funds are subject to Market Risks. Read all scheme related documents carefully before investing. Mutual Fund Schemes do not assure or guarantee any returns. Past performances of any Mutual Fund Scheme may or may not be sustained in future. There is no guarantee that the investment objective of any suggested scheme shall be achieved. All existing and prospective investors are advised to check and evaluate the Exit loads and other cost structure (TER) applicable at the time of making the investment before finalizing on any investment decision for Mutual Funds schemes. We deal in Regular Plans only for Mutual Fund Schemes and earn a Trailing Commission on client investments. Disclosure For Commission earnings is made to clients at the time of investments. Option of Direct Plan for every Mutual Fund Scheme is available to investors offering advantage of lower expense ratio. We are not entitled to earn any commission on Direct plans. Hence we do not deal in Direct Plans.

Mrigaashree Capital Private Limited is an Authorised Person of Kotak Securities Limited in the Equity, Derivatives & Commodity segments of the Exchanges (NSE, BSE & MCX). AP Registration No – NSE: AP0291100433, BSE: AP0106730193900, MCX: MCX/AP/134782. Kotak Securities Limited: CIN U99999MH1994PLC134051, SEBI Registration No. INZ000200137 (Member of NSE, BSE, MSE, MCX & NCDEX), Research Analyst INH000000586 and NSDL/CDSL: IN-DP-629-2021.

Derivatives are a sophisticated investment device. The investor is requested to take into consideration all the risk factors before actually trading in derivative contracts.

Mrigaashree Capital Private Limited does not guarantee returns under any scheme or product. We are not a SEBI-registered Investment Adviser or Research Analyst and do not provide investment advisory, portfolio management or research services. We may earn commission or brokerage from AMCs, insurers and other product providers on products distributed; details are available on request.

For insurance, loans and fixed deposits & bonds, Mrigaashree Capital Private Limited is acting as a facilitator/distributor/referrer and is not associated with Kotak Securities Limited. These are not Exchange traded products and we are just acting as facilitator/distributor/referrer. All disputes with respect to the facilitator/distributor/referrer activity would not have access to Kotak Securities Limited/SCORES/ODR, Exchange investor redressal forum or Arbitration mechanism. Insurance is the subject matter of solicitation. Loan products are provided by partner banks/NBFCs and are subject to their eligibility criteria and credit policies. Fixed deposits and bonds are offered by the respective issuers and carry issuer credit risk. All content on this website, including calculators and the risk-profile tool, is for general information and education only and does not constitute investment, tax or legal advice, or an offer or solicitation to invest. Investors should evaluate their own objectives and risk tolerance before investing.