General Questions

What is an Investment Advice?

“Investment advice” is an advice relating to investing in, purchasing, selling or otherwise dealing in securities or investment products, and advice on investment portfolio containing securities or investment products, whether written, oral or through any other means of communication for the benefit of the client and shall include financial planning.

An Investment Adviser(s) is one such professional who understands the subject of finance and is experienced, certified and licensed to deal with it. Their primary task is to provide financial solutions and help you with their advice in order to help you achieve your investment objective or financial goals. Investment Advisers are also expected to work with clients in the areas of tax planning, retirement income planning, cash flow planning and asset allocation, etc.

A financial advisor will work together with you to build a financial plan that can guide you towards your future financial goals. In doing so, the advisor will be able to share his/her advice and experience of working with people like yourself. Your advisor will then be able to recommend and explain in detail specific solutions that will help you reach your financial targets.

Most people don’t take the time to step back from their day to day routine and take an overall look at their financial goals and plans. Regardless of what your income level is and what your future aspirations might be, you will need to have a solid plan to achieve your goals. A financial review is an opportunity to sit down with a professional financial planner or investment adviser who can help you get a clear picture of where you are, and also advise you on what is realistically possible to achieve in the future.

Investment Advisers need to get themselves registered with Securities Exchange Board of India (SEBI).

If any person found to be engaged in providing investment advisory services without getting registered with SEBI, appropriate action as deemed fit, under SEBI Act, 1992 may be initiated. [Regulation 3(1)].

SEBI provides a registration number to all the Investment Advisers. All registered Investment Advisors are required to mention their registration number in all official communication with SEBI and clients

The following persons or entities are qualified to become Investment Advisors:
• Individuals
• Partnership Firms
• Body Corporate
• Limited Liability Partnership

Any person or firms in the business of providing Investment Advisory services provide various advices to clients. It is their duty to clearly segregate and highlight the list of services which are free and the list of services which are provided against a fee. The client should freely make the choice as to what kind of service he/she needs. So if he/she accepts a paid service, requisite fees is to be paid.

A client is entitled to receive different types of advices from an Investment Adviser. But it is always at the discretion of the client as to which advice he wants to adhere to. Just because a client seeks advice from his adviser, does not bind him to take an action suggested by the adviser. An Investment Adviser is there to suggest options, not to direct actions.

You can fill in a general enquiry form on our website and we will get in touch with you. Once we have a preliminary discussion, if you are willing to take advantage of our services, we would enter into an agreement clearly laying down all the important points so that we have a clear understanding of our relationship going forward.

Your investment adviser will be in contact with you throughout the year, and you will also be able to contact your adviser at any time with any questions or concerns. Usually your adviser will meet with you to conduct a full review of your personal finances and accounts annually, however we are available to meet with clients throughout the year.

SSIAS believes it is a one-stop avenue for everyone seeking to build long term wealth. Apart from our regular investment advice, we offer our advices for the following fields as well:
a. Financial Planning
b. Retirement Planning
c. Education Planning
d. Life Insurance
e. Health Insurance
f. Wealth Management

SSIAS is the wealth management arm of Smart Sync Services (SSS). SSS is an associate firm of the parent company, Synconic Solutions & Services Pvt Ltd. Once you become a client of SSIAS, you not only get financial advice but also get the opportunity to build relationship with the members of our other business units. Our other business areas are as follows:
a. Small Business Consulting
b. IT services and SAP Implementation
c. Organic Farming Consulting
It is sure that once you become a client of SSIAS, you would also be able to have access to our other offerings as mentioned above.

Any personal information disclosed during your financial review will be used solely for the purpose of offering financial advice specific to your personal needs. Your information will remain confidential at all times and will not be shared with any third parties.


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