DISCLOSURE DOCUMENT

Quantech Capital Investment Advisors Private Limited (QCIAPL)

Objective:

The purpose of the Document is to provide basic and essential information about the Investment Advisory
Services to assist the prospective client in making an informed decision for engaging the Investment Advisor for
availing of its services.

About the Company:

Quantech Capital Investment Advisors Private Limited (QCIAPL) is registered with the
Securities and Exchange Board of India (“SEBI”) as an Investment Adviser under SEBI
(Investment Advisers) Regulations, 2013 (“IA regulations”) vide registration no.
INA000017860, pursuant to which it provides investment advisory services to its clients.

About Business Activities:

Scope of Services to be provided by the Advisor will be limited/ subject to the Advisory
services which are permitted activity under SEBI (Investment Advisers) Regulations, 2013
including guidelines issued by SEBI and the Advisor shall act in a fiduciary capacity.

The Scope of Services covered is as follows:

a) Advise the Client regarding the Securities to be purchased or sold or Investments to be

made as per the applicable law for the time being in force and Investment Pattern applicable
to class of investor;
b) Portfolio Analysis,
c) Review, evaluate, structure and monitor Investments so as to achieve the Client's
objectives;

1. Investment Advisory services shall be provided to you only after the Investment Adviser (“IA”)
assesses your risk profile and the suitability of the product.

2. If you wish to avail the investment advisory services of the QCIAPL IA Division, you will be
required to
a) complete the risk profiling and know-your-client (KYC) form in the manner prescribed by
QCIAPL.
b) update the risk profiling and know-your-client (KYC) information periodically as required by
QCIAPL.
c) keep the investment advisory division updated on any change in your status or other factors
which will result in any change in your risk profile.

3. You will not be under any obligation to avail of the stock broking, depository, and distribution
services offered by the QCIAPL Group entity (including parent, subsidiaries, affiliates and related
group companies of QCIAPL) or through any other entity recommended by the IA Division of
QCIAPL.

4. Any fees and charges, payable by you for the execution/distribution services availed by you, must
be paid directly to the respective service provider and not through the QCIAPL IA Division.

This document has been prepared pursuant to Regulation 18 of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013. This document has neither been approved nor disapproved by SEBI nor has SEBI certified the accuracy or adequacy of
the contents of this Document.
 DISCLOSURE DOCUMENT

5. Clients are requested to go through the detailed key features, performance track record of the
product, or security including warnings, disclaimers etc. before investing as and when provided by the
Investment Advisor.

6. QCIAPL IA Division does not hold any proprietary positions.

7. The QCIAPL IA Division shall not receive any consideration by way of remuneration or
compensation or in any other form, whatsoever, from any person other than the client being
advised in respect of the underlying products or securities for which advice is provided to the
client.

QCIAPL IA division does not have any commission-sharing agreement with any intermediary for
recommending the services either as a stock broker or as other intermediary.

In case you opt to avail other Non-Investment advisory (Non-IA) services of QCIAPL Group entity
(including parent, subsidiaries, affiliates, and related group companies of QCIAPL), as per the
internal norms, the QCIAPL IA Division will not receive consideration by way of commission.

8. QCIAPL IA Division shall maintain complete confidentiality of all information provided by you and
shall not disclose any such information, without your prior consent except if such disclosure is
required to be made in compliance with any applicable law or regulatory direction. QCIAPL IA
Division will not obtain any information pertaining to your orders/transactions/portfolio/funds
availability/securities availability etc. from the QCIAPL group entity (including parent, subsidiaries,
affiliates, and related group companies of QCIAPL).

9. QCIAPL is carrying on its activities independently, at an arm's-length basis with its related parties.

Material information about QCIAPL/Parent/Associates/Subsidiaries

a) Details of Parent/Associates/Subsidiaries:

● In September 2022, QCIAPL received SEBI approval for change in control pursuant to Share
Purchase Agreement executed by PhonePe Wealth Broking Private Limited (PPWB).
● QCIAPL is owned by Phonepe Wealth Broking Private Limited (PPWB), a company registered and
incorporated under the Companies Act, 2013, as a stock broker (in exchange-listed equities and
futures & options), and depository participant, and distribution of mutual funds.
● QCIAPL does not have a subsidiary.

b) Licensing:

Details of SEBI registrations:

● PPWB: a) Registered as a stock broker with SEBI with registration number INZ000302639 for
providing stock broking services through BSE & NSE.
b) Registered as a depository participant with SEBI for one of India’s leading
Depository, CDSL with SEBI registration number IN-DP-696-2022.
● QCIAPL: Registered as investment advisors with SEBI registration number INA000017860.

c) Disciplinary history:

This document has been prepared pursuant to Regulation 18 of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013. This document has neither been approved nor disapproved by SEBI nor has SEBI certified the accuracy or adequacy of
the contents of this Document.
 DISCLOSURE DOCUMENT

● No penalties have been levied by SEBI under the SEBI Act or Regulations made thereunder against
the Investment Adviser relating to Investment Advisory services.
● 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
Investment Adviser or its Directors, or employees.
● No material action has been taken against QCIAPL by any regulator.

Conflict of interest:

We maintain appropriate Chinese walls as expected under SEBI Investment Advisers Regulations, 2013
including segregation and controls.

Other disclosures:

The Principal Officer and the persons associated with investment advice may have a holding or position in the
financial products or securities which are the subject matter of advice.

Terms & Conditions for Advisory Services

I. QCIAPL will provide Investment Advisory Services, for an agreed fee structure for a definite period of
time and which may vary / change from time to time, entirely at the Client’s risk.
II. QCIAPL shall, wherever available, advice direct plans (non-commission based) of products only.
III. The detailed terms and conditions are as per the Agreement executed between Client and QCIAPL.

Standard Risk Factors as perceived by Investment Adviser

The following is an indicative list of factors which may contribute to a loss of capital invested.

(a) Overall economic slowdown, unanticipated corporate performance, environmental or political

problems, changes to monetary or fiscal policies, changes in government policies and regulations with
regard to industry and exports.
(b) Acts of force majeure including nationalisation, expropriation, currency restriction, measures taken by
any government or agency of any country, state or territory in the world, industrial action or labour
disturbances of any nature, boycotts, power failures or breakdowns in communication links or
equipment (including but not limited to loss of electronic data) international conflicts, violent or
armed actions, acts of terrorism, insurrection, revolution, nuclear fusion, fission or radiation, or acts of
God, default of courier or delivery service or failure or disruption of any relevant stock exchange,
depository, clearing house, clearing or settlement systems or market, or the delivery of fake or stolen
securities.
(c) Volatility of the stock markets, stock market scams, circular trading of securities and price rigging. The
fluctuations are dependent upon various factors such as: macro-economics, geopolitical, sentiments,
fundamentals, micro-economics, the performance of underlying companies and assets among others.
(d) All investments are subject to market risks and the value of or return on investments will always be
accretive, and that it could depreciate to an unpredictable extent. There is no assurance or guarantee
that the objective of the schemes will be achieved. As an investor, you must satisfy yourself by reading
investment brochures and related material.
(e) Default or non-performance of a third party, company’s refusal to register a security due to legal stay
or otherwise and disputes raised by third parties.
(f) Low possibilities of recovery of loss due to expensive and time-consuming legal process and any
changes in the Applicable Laws or SEBI regulations.
(g) Any risk of slippage leading to a difference between the expected price of a Securities and the price at
which the Securities is executed.

This document has been prepared pursuant to Regulation 18 of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013. This document has neither been approved nor disapproved by SEBI nor has SEBI certified the accuracy or adequacy of
the contents of this Document.
 DISCLOSURE DOCUMENT

(h) Any limitations delays, and other problems inherent in the use of technology, the internet, and
electronic communications while performing Services.
(i) Investments in debt instruments are subject to default risk and interest rate. Interest rate risk results
from changes in demand and supply for money and other macro-economic factors and creates price
changes in the value of the debt instruments. Consequently, the net asset value of the portfolio may
be subject to fluctuation. Investments in debt instruments are subject to reinvestment risks as interest
rates prevailing on interest or maturity due dates may differ from the original coupon of the board,
which might result in the proceeds being invested at a lower rate.
(j) Engaging in securities lending is subject to risks related to fluctuations in collateral
value/settlement/liquidity/counter party.
(k) (k) Use of derivatives instruments like index, futures, stock futures and options contracts, warrants,
convertible, Securities, swap agreements or any other derivative instruments, including but not
restricted to, for the purpose of hedging and portfolio balancing, as permitted under the Regulations
and guidelines will expose to certain risk inherent to such derivatives. You is aware that the derivatives
are highly leveraged instruments and even a small price movement in the underlying security could
have a large impact on their value.
(l) The financial markets rise and fall based on economic conditions, inflationary pressure, world news
and business specific reports. This variability puts investments at risk of losing value. The value of
stocks may go lower than what you had initially paid for them, causing you to lose money when the
securities are sold. If you do not diversify your investments in stocks and securities, you might face
difficulties while liquidating such securities. Further, you may sustain heavy loss due to distress selling.
(m) As the cost of goods and services tends to rise over time because of inflation, your investments might
not be keeping pace with general market inflation. Further, the no- or low-growth stocks can cause
your money to have the less purchasing power than when you first made his/her stock investment.
(n) Markets cease to function in a regular manner, typically characterized by rapid and large market
declines. Market disruptions can result from both physical threats to the stock exchange or unusual
trading. In either case, the disruption creates widespread panic and results in disorderly market
conditions. These kinds of disruptions may affect the value of your investments.
(o) Investment in futures involves daily settlement of all positions. Every day the open positions are
marked to market based on the closing level of the Index. The Index may move against the position
that may have been assumed leading to Marked to Market losses; sometimes these may be
substantial.
(p) Under certain market conditions, it may be difficult or impossible for you to execute transactions.
There may be insufficient liquidity owing to factors including insufficient bids or offers or suspension
of trading owing to other reasons.
(q) Buying an option carries a risk of losing the entire premium that is paid upfront on it, if the market in
the security moves in a contrary direction to the position assumed.
(r) SEBI may impose restrictions and have absolute authority to restrict the exercise of options in
specified circumstances in specified times. This reflects that there is liquidity risk involved in
investment in options. The Option writer who sells the options runs the risk of losing substantial
amount if the underlying asset does not move in the anticipated direction.
(s) Investment in Derivatives for the purposes of hedging is subject to Basis risk. Basis risk is the risk that
the Instrument of the hedge is not a perfect match for the Underlying.

The aforementioned risks are strictly indicative and that other risks may arise in the context of investment in
derivatives or other Securities, particularly when positions are assumed synthetically, including for the purposes
of generating returns. Neither the Investment Adviser, its associates, group companies, corporate affiliates nor
any of its employees shall be liable for any direct, indirect, special, incidental, consequential, punitive or
exemplary damages, including lost profits arising in any way from the advice, suggestion, guidance or any other
indication provided under this Agreement.

This document has been prepared pursuant to Regulation 18 of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013. This document has neither been approved nor disapproved by SEBI nor has SEBI certified the accuracy or adequacy of
the contents of this Document.
 DISCLOSURE DOCUMENT

Company’s Name (Name of the IA as registered with Quantech Capital Investment Advisors Private
SEBI) Limited
SEBI Registration No. INA000017860
BASL Membership ID 1985
Registered Office "Office-2, Floor 4,5,6,7, Wing A, Block A, Salarpuria
Softzone Service Road, Green Glen Layout, Bellandur,
Bangalore South Bangalore Karnataka - 560103
India".
Website www.openq.in
Email id contact@quantechcapital.in
Telephone Number 080-69104769
Name, Telephone, and Email id of the Principal Sujit Modi
Officer contact@quantechcapital.in
080-69104769
Name, Telephone, and Email id of the Compliance Purnima Singh
Officer 080-69104769
purnima.singh@quantechcapital.in
For grievances/complaints investor.grievance@quantechcapital.in

Disclaimer: “Registration granted by SEBI, membership of BASL (in case of IAs) and certification from
NISM in no way guarantee performance of the intermediary or provide any assurance of returns to
investors”.

The information is only for consumption by the client and such material should not be redistributed.

Standard Warning: “Investment in securities market are subject to market risks. Read all the related
documents carefully before investing”.

This document has been prepared pursuant to Regulation 18 of the Securities and Exchange Board of India (Investment Advisers)
Regulations, 2013. This document has neither been approved nor disapproved by SEBI nor has SEBI certified the accuracy or adequacy of
the contents of this Document.