Research Analyst Disclosures: Alok Daiya
This document outlines important disclosures regarding Alok Daiya, an Individual Research Analyst registered with SEBI. It provides essential information about his qualifications, business activities, disciplinary history, and the terms and conditions under which research reports are issued. The disclosures also cover potential conflicts of interest, affiliations, and compensation details, ensuring transparency for investors and potential clients.
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by RA ALOK DAIYA SEBI Reg. INH000011468
About Alok Daiya: Qualifications and Experience
Alok Daiya is a qualified financial professional with a master's in commerce degree. His educational background has provided him with a strong foundation in financial principles and market dynamics. Over the past 22 years, Mr. Daiya has honed his skills in the financial markets, developing a keen eye for investment opportunities and effective strategy implementation.
His experience encompasses various aspects of financial analysis, including:
- Fundamental analysis of equity securities
- Technical analysis of market trends
- Evaluation of mutual fund performance
- Commodity market analysis
This diverse skill set enables Mr. Daiya to provide comprehensive research services to his clients, offering valuable insights across multiple asset classes.
Registration and Business Activities
1
SEBI Registration
Alok Daiya obtained his registration as an Individual Research Analyst with the Securities and Exchange Board of India (SEBI) on February 20, 2023. His registration number is INH000011468, which validates his authority to provide research analyst services to clients in India.
2
Office Location
Mr. Daiya operates from his office located at 18, Braja Dulal Street, Beadon Street, Kolkata, West Bengal- 700006. This centralized location allows him to stay connected with the financial hub of Kolkata and serve clients efficiently.
3
Research Services
The primary business activities of Alok Daiya revolve around providing research services on equity shares, commodities, and mutual funds. These services are designed to help clients make informed investment decisions based on thorough analysis and market insights.
Disciplinary History and Professional Integrity
Maintaining a clean disciplinary record is crucial for any financial professional, and Alok Daiya's history reflects his commitment to ethical practices and regulatory compliance. As of the date of this disclosure, there are no outstanding litigations or disciplinary actions against Mr. Daiya.
This unblemished record underscores his adherence to professional standards and regulatory requirements. It also serves as a testament to his integrity and reliability as a research analyst. Clients can take confidence in the fact that Mr. Daiya has consistently operated within the bounds of legal and ethical guidelines set forth by SEBI and other relevant authorities.
Terms and Conditions of Research Reports
Alok Daiya adheres to strict guidelines in the preparation and dissemination of research reports. These terms and conditions are designed to ensure the reliability and transparency of the information provided to clients:
1
Due Diligence
Mr. Daiya exercises due diligence in verifying the correctness and authenticity of the information contained in his reports, particularly concerning current and historical data. However, he does not guarantee absolute accuracy or completeness.
2
Dynamic Opinions
The opinions expressed in the reports are based on current research as of the date of publication. These views may be subject to change without notice as new information becomes available or market conditions shift.
3
Liability Limitations
Alok Daiya does not accept liability arising from the use of his documents or the information contained therein. Recipients are advised to rely on their own judgment and seek professional advice before acting on the information provided.
4
Disclaimer
Mr. Daiya shall not be held responsible for any loss or damage that may arise from inadvertent errors in the information, views, or opinions expressed in his publications.
Conflict of Interest Disclosures
Transparency regarding potential conflicts of interest is paramount in maintaining trust with clients. Alok Daiya provides clear disclosures to ensure that clients are aware of any factors that might influence his research or recommendations:
These disclosures underscore Mr. Daiya's commitment to providing unbiased and independent research to his clients.
Compensation and Business Relationships
To further ensure transparency and avoid potential conflicts of interest, Alok Daiya provides clear disclosures regarding compensation and business relationships:
1
No Compensation from Covered Companies
Alok Daiya has not received any compensation from the companies covered in his research reports during the past twelve months. This policy helps maintain objectivity in his analysis and recommendations.
2
No Involvement in Public Offerings
Neither Mr. Daiya nor his associates have managed or co-managed public offerings of securities for the companies covered in his reports during the past year. This separation ensures that his research is not influenced by investment banking relationships.
3
No Employment or Directorship
Alok Daiya has not served as an officer, director, or employee of the companies he covers. This independence allows him to provide unbiased assessments without internal pressures or conflicts.
4
No Market Making Activities
Mr. Daiya has not engaged in market making activities for the securities of the companies covered in his research. This policy helps avoid potential conflicts that could arise from simultaneously analyzing and trading in the same securities.
Conclusion and Investor Advisory
While Alok Daiya strives to provide accurate and reliable research, it is essential for investors to approach his reports with a critical mindset. The following recommendations are offered to help investors make the most of the research provided:
- Conduct independent research to verify key information and analysis presented in the reports
- Consider seeking advice from multiple sources before making investment decisions
- Be aware of the inherent risks involved in financial markets and invest accordingly
- Regularly review and reassess your investment strategy in light of changing market conditions
By adhering to these guidelines and maintaining a balanced perspective, investors can leverage the insights provided by Alok Daiya's research while managing their risk effectively. Remember that all investment decisions should be made based on your individual financial situation, risk tolerance, and investment goals.