Vision and Mission Statements

Vision
Invest with confidence and knowledge while prioritizing safety.

Mission
Empowering investors to make informed investment decisions based on their financial goals. Providing tools to manage and monitor investments effectively while ensuring access to reports and financial well-being.

Business Transactions with Investors

Sunrise Capitals follows a structured and transparent process while engaging with investors. This includes:

• Establishing a formal agreement with the investor, detailing service terms, fee structure, disclosure of potential conflicts of interest, and ensuring confidentiality.
• Conducting unbiased risk profiling and suitability assessments to provide appropriate investment advice.
• Complying with regulatory requirements by registering with Know Your Client (KYC) Registration Agencies (KRA) and Central KYC Registry (CKYC).
• Conducting annual audits to maintain compliance and integrity.
• Displaying the status of investor complaints on the website.
• Providing complete business details, including registration number, validity, address, contact details, and regulatory authority information.
• Employing only qualified and certified professionals.
• Ensuring all investor interactions occur through official communication channels.
• Maintaining records of all client interactions, including pre-onboarding discussions related to investment advice.

Investor Services

Sunrise Capitals provides the following services to investors without indicative timelines:

1. Onboarding Process: Assisting investors in the registration and account setup process.
2. Agreement Documentation: Providing investors with a copy of the formal agreement outlining all terms and conditions.
3. KYC Completion: Ensuring compliance with regulatory requirements by completing the KYC process.
4. Disclosure of Business Practices: Offering complete transparency about services, affiliations, and compensation structures.
5. Account Access & Security: Ensuring clients retain full control over their investment accounts and holdings.
6. Risk Assessment & Investment Advice: Providing investment recommendations based on thorough risk profiling and client suitability analysis.

Grievance Redressal Mechanism

Sunrise Capitals is committed to addressing investor concerns in a structured manner:

1. Investors should initially raise any grievances with Sunrise Capitals, which will work to resolve them within 30 days.
2. If the concern is not resolved satisfactorily, investors can escalate the issue by lodging a complaint on SEBI’s ‘SCORES’ portal, which provides a centralized system for complaint resolution and tracking.
3. For physical complaints, investors may write to:
   Office of Investor Assistance and Education
   Securities and Exchange Board of India (SEBI)
   SEBI Bhavan, Plot No. C4-A, ‘G’ Block, Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051.

Investor Responsibilities

To ensure a secure and informed investment experience, investors should adhere to the following best practices:

Do’s:

• Engage only with SEBI-registered Investment Advisers.
• Verify the registration details of the Investment Adviser through the SEBI website.
• Pay advisory fees through secure banking channels and maintain proper documentation.
• Request and review a risk profiling assessment before accepting investment advice.
• Seek investment recommendations aligned with personal risk tolerance and financial goals.
• Ensure all agreements and terms are documented in writing.
• Stay informed about investments, their risk-return profiles, liquidity, and safety.
• Report any misleading claims or guarantees made by advisers to SEBI.

Don’ts:

• Avoid engaging with unregistered or unverified investment advisers.
• Do not fall for stock tips or unsolicited investment advice.
• Never provide funds to an Investment Adviser for investing on your behalf.
• Avoid offers that promise guaranteed, unrealistic, or exaggerated returns.
• Do not rely solely on phone calls or messages for making investment decisions.
• Refrain from making hasty investment decisions based on repeated calls or limited-time offers.
• Do not share trading account login credentials with anyone, including investment advisers.

Sunrise Capitals is committed to providing transparent, ethical, and well-informed investment guidance to help clients achieve their financial aspirations with confidence.