Epic Research complies with various state and central government laws and regulations while delivering its products and services to clients. Epic collects the following information from its clients and potential subscribers –
1. KYC documents (Know Your Client)
2. Client risk profile
The artefacts above are collected to comply with the SEBI investment advisor act of 2013. More details on the act can be found at http://www.sebi.gov.in/cms/sebi_data/attachdocs/1358779330956.pdf
There will be occasions when you have a complaint or a query regarding Epic. In the event of such complaint you should first approach Epic by using one of the methods listed on the client service page located at www.clients.epicresearch.co. However, if you are not satisfied with the response from Epic SEBI takes up complaints against the various intermediaries registered with it and related issues. SCORES facilitates you to lodge your complaint online with SEBI and subsequently view its status SCORES can be located at http://scores.gov.in
Compliance Officer at Epic Research keeps track of and comply with new SEBI guidelines for investment advisors. Mr. Sapan Jain accepted the new position on October 17, 2013 and is directly reporting to the board of directors. Sapan holds an MBA from SVIMS Indore (Indore University) and carries NCFM and NSE NCMP certifications. Having worked with sub brokers in administrative roles for the past 5 years has helped him grasp a deep knowledge of the financial industry and its compliances. Sapan has been given the charge to comply with SEBI guidelines pertaining to KYC, client risk profiling and investment advice recordkeeping at Epic. Systems and procedures are being actively developed to manage the recordkeeping and regular communication with SEBI.