Alpha Capital is into financial advisory business which is regulated by Association of Mutual Funds in India (AMFI). Alpha Capital complies with AMFI Guidelines and Norms for Intermediaries<

Alpha Capital strives to supplement the efforts of its clients in creating wealth. The company aspires to achieve this by following high standards of ethics, integrity, and professional excellence. Hence, Alpha Capital has decided to follow the regulations of CFA Institute, USA along with AMFI.  

To ensure highest quality of management and processes, Alpha Capital follows the guidelines of ISO 9001:2008. It was awarded with ISO 9001:2008 certification recently.

Some of the new regulations which Alpha Capital has started following from this financial year onwards are as under:

• Disclosure of earnings – Will disclose earnings from the transactions of respective clients.

• Diligence and Reasonable Basis for advice – On request, will share with clients all the research work and financial models used for giving them the advice.

• Disclosure of conflict – Will make full and fair disclosure of all matters that could interfere with its duties towards the clients.

• Record Retention – Will maintain all the records of research, client documents etc for 7 years.

The above regulations are in addition to the existing regulations being followed by Alpha Capital like Client Confidentiality, Suitability, Professionalism, Investment Analysis and Research, Duties to client, etc.

Please click on the link below to check the code of ethics being followed at Alpha Capital.

• CFA Institute Code of Ethics

• AMFI Code of Ethics