This Conflict of Interest Policy is issued by Uttam Singh Bais, a Research Analyst registered with Securities and Exchange Board of India.
SEBI Registration Number: INH000011255
1. Objective
The objective of this policy is to:
Identify potential conflicts of interest
Ensure fair and unbiased research recommendations
Maintain transparency with investors
Comply with regulatory requirements
2. Definition of Conflict of Interest
A conflict of interest may arise when the Research Analyst’s personal interest could influence the objectivity of research recommendations.
Examples include:
Financial interest in a security being recommended
Personal trading in securities covered in research reports
Receiving compensation from companies mentioned in research reports
3. Disclosure of Interest
The Research Analyst will disclose any actual or potential conflict of interest in research reports and communications with clients.
Disclosures may include:
Financial interest in securities
Ownership of securities
Any compensation received from issuers
4. Restrictions on Trading
To maintain research integrity:
The Research Analyst will follow internal trading guidelines.
Personal trading should not influence research recommendations.
Trading activities may be restricted around the time of issuing research reports.
5. Fair Treatment of Clients
All clients will be treated fairly and equally.
Research recommendations will be shared with clients without discrimination or preferential treatment.
6. Prevention of Misuse of Information
Confidential information obtained during research activities will not be used for personal benefit or disclosed to unauthorized parties.
7. Record Maintenance
All disclosures and records related to potential conflicts of interest will be maintained as per regulatory requirements.
8. Compliance Monitoring
The Research Analyst will ensure compliance with regulatory guidelines and internal policies regarding conflicts of interest.
9. Contact Details
Research Analyst: Uttam Singh Bais
SEBI Registration No.: INH000011255
Office Address:
2nd Floor Shri TMD Complex
Rewa Road, Satna
Madhya Pradesh
Email: info@primeresearch.co.in
Mobile: +91 8982276488