Regulatory Information

Access all policies and disclosure documents applicable to our businesses

Ethics and integrity form the DNA of Avendus. We aspire to deliver high-quality, customized solutions to our clients, thereby ensuring strict adherence to guidelines and policies that apply to each of our businesses. In this section, you will find important policies, regulatory information and contact details to raise grievances, if any.

  • Avendus Finance
    Private Limited - NBFC
    Corporate Governance
    Fair Practices Code
    Interest Rate Policy
    Grievance Redressal
    Mechanism
    Ombudsman Scheme
    RPT Policy
    Whistle Blower Policy
    Code of Conduct
    Annual Report 2018-19’
    Investor Information
    Grievance Redressal
    Radhika Parmanandka; investor.afpl@avendus.com; Registered Office: The IL&FS Financial Centre, 6th floor, C and D Quadrant, Bandra – Kurla Complex, Bandra (East), Mumbai – 400 051, Maharashtra Telephone No.: 022 66480050; Fax No.: 022 66480040

    Debenture Trustee
    Vistara ITCL (India) Limited Address: The IL&FS Financial Centre, Plot C-22, G Block, 7th Floor, Bandra Kurla Complex, Bandra (East), Mumbai - 500051 Tel: 022 26593112 Email: jayesh.khaitan@vistra.com; Contact Person: Mr. Jayesh Khaitan

    Registrar & Share Transfer Agent :
    NSDL Database Management Limited; Address: 4th Floor, Trade World A Wing, Kamala Mills Compound, Senapati Bapat Marg, Lower Parel, Mumbai – 400 013; Tel: 022 49142591 Email: nileshb@nsdl.co.in; Contact Person: Mr Nilesh Bhandare;

    For Valuation Reports
    Avendus Finance Private Limited issues Rated, Listed, Secured, Redeemable, Principal Protected Non-Convertible Market Linked Debentures (PPMLDs).

    Please review the relevant offer document / memorandum of private placement relating to the specific PPMLDs for details on the PPMLDs including their risk factors. CARE Ratings Limited (CARE) has been appointed as the valuation agency for valuation of these debentures.

    As per the Guidelines for Issue and Listing of Structured Products / Market Linked Debentures dated September 28, 2011 issued by SEBI, depending on the valuation agency mentioned in the offer document / memorandum of private placement; latest and historical valuations provided by the valuation agent will be available as below:

    CARE Ratings Limited:http://www.careratings.com/mld-valuation/Index.aspx

  • Avendus Finance
    Private Limited - Depository Participant

    Attention Investors



    "Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day."Issued in the interest of investors. No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account.


    "KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary.”

    For grievances, you can reach out at afplcdslig@avendus.com

    If you are not satisfied with the resolution provided, you can lodge your complaint online at http://scores.gov.in

  • Avendus Wealth Management
    Private Limited
    Mutual Funds Commission
    Disclosure
    Firm Brochure

    Disclosure Document Request

    The firm’s ADV and information about its advisors can be found at the SEC IA search listed here: https://www.adviserinfo.sec.gov/ A copy of the ADV and Code of Ethics for the RIA is available upon request.

  • Avendus
    Capital Inc.
    US Brochure

    Avendus Capital Inc. is a member of FINRA (www.finra.org) and SIPC (www.sipc.org). For FINRA background check on the firm and the investment professionals, please refer http://brokercheck.finra.org

  • CIN of
    Companies

    Avendus Capital Private Limited

    U99999MH1999PTC123358

    Avendus PE Investment Advisors Private Limited

    U65990MH2009PTC191437

    Avendus Wealth Management Private Limited

    U67120MH2008PTC179931

    Avendus Finance Private Limited

    U65921MH1996PTC251407

    Avezo Advisors Private Limited

    U74120MH2014PTC255373

    Avendus Capital Alternate Strategies Private Limited

    U67190MH2015PTC268280

    Avendus Capital Public Markets Alternate Strategies LLP

    AAI-3806

    Ocean Dial Asset Management India Private Limited (Formerly known as SIRI Investment Management Private Limited)

    U74900MH2015PTC269770
  • Contacts for
    Investor Grievance

    Avendus Wealth Management Private Limited

    awmplig@avendus.com

    Avendus Finance Private Limited - NBFC

    afplig@avendus.com

    Avendus Finance Private Limited - Depository Participant

    afplcdslig@avendus.com

    Avendus PE Investment Advisors Private Limited

    apeig@avendus.com

    Ocean Dial Asset Management India Private Limited (Formerly known as SIRI Investment Management Private Limited)

    odamig@oceandial.in

    Avendus Capital Public Markets Alternate Strategies LLP

    llpig@avendus.com

    Avezo Advisors Private Limited

    Investor.relations@avezo.com

    Avendus Capital Alternate Strategies Private Limited

    acasplig@avendus.com

    If you are not satisfied with the resolution provided, you can lodge your complaint online at http://scores.gov.in

    Filing compliant on SCORES – Easy & quick

    Register on SCORES portal

    Mandatory details for filing complaints on SCORES
    - Name, PAN, Address, Mobile Number, E-mail ID

    Benefits:
    - Effective Communication
    - Speedy redressal of the grievances
  • Registration
    Numbers

    Avendus Capital Private Limited

    SEBI Registration no. : Merchant Banking - INM000011021

    Avendus Wealth Management Private Limited

    SEBI Registration no.: PMS - INP000005257 | RIA no: INA000006527 | SEC- USA : CRD No. 156771 Avendus Capital, Inc: FINRA-USA: CRD No. – 150160| Investment Manager to SEBI Registered Category – III Alternative Investment Fund – Avendus Equity Opportunities Fund Reg no: IN/AIF1/17-18/0360 | AMFI certified Distributor with ARN No- 86906

    Avendus Capital (UK) Private Limited

    FCA-UK: 493919 Authorised and regulated by the Financial Conduct Authority (FRN 493919)

    Avezo Advisors Private Limited

    SEBI Registration No. Portfolio Manager - INP000004607 | Manager to SEBI registered Category -I Alternative Investment Fund - Zodius Technology Fund - IN/AIF1/14-15/0126| Manager to SEBI registered Category III Alternative Investment Fund- Avendus India Opportunities Fund III - IN/AIF3/12-13/0033

    Avendus Capital Public Markets Alternate Strategies LLP

    LLP Identification no.- AAI-3806 | Investment Manager to SEBI Registered Category – III Alternative Investment Fund – Avendus Alternate India Fund - IN/AIF3/16-17/0304

    Avendus PE Investment Advisors Private Limited

    Manager to SEBI registered Category -II Alternative Investment Fund – Avendus Structured Credit Fund - I - IN/AIF2/17-18/0341

    Avendus Finance Private Limited

    Non-banking Financial Company registered with RBI – N-13.02080 | Registered as depository participant with SEBI: Registration number: IN-DP-375-2018

    Ocean Dial Asset Management India Private Limited

    Manager to SEBI registered Category -III Alternative Investment Fund – Ocean Dial Systematic Equity Fund - IN/AIF3/16-17/0284
  • MERCHANT BANKING
    TRACK RECORD

    Track record of public issues managed by the merchant banker in the last three financial years

    Nil

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