Client Onboarding Kit

Welcome to Aurivox

A confidential, private onboarding experience

Your Full Name Date

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A Welcome from the Partners

Section 1 of 5

Dear Valued Client,

You have arrived at a moment that defines intent — the decision to place your financial future in the hands of a team that genuinely understands what is at stake. We do not take that responsibility lightly.

Aurivox Financial Services was founded on a conviction that endures: that truly exceptional financial stewardship is not a transaction — it is a relationship built over years, grounded in integrity, and measured by the outcomes it creates for you. Every product we present, every conversation we hold, and every decision we guide you through is shaped by a single, unwavering question: what is truly in your best interest?

As your financial partners, here is what you can expect from us — without compromise:

Precision & Deep Expertise — Rigorous research, disciplined product selection, and bespoke solutions crafted for your specific goals, life stage, and risk temperament.
Flawless Execution — Seamless onboarding, meticulous transaction management, and a portfolio experience where every detail is attended to.
Absolute Transparency — You will always know what you hold, why you hold it, and precisely how it is performing. No ambiguity, no fine print.
Uncompromising Discretion — Your financial life is entirely private. We guard it with the same care we would our own.
A Partnership for Life — We measure our success not by the assets we manage, but by the financial growth and security we deliver for you — across every season of your life.

This onboarding kit is the beginning of that journey. Please read each section carefully, complete the risk profiler honestly, and do not hesitate to reach out to us at any point. We are here — and we are honoured to have you with us.

Warm regards,

Partners

Aurivox Financial Services LLP

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Mutual Non-Disclosure Agreement

Section 2 of 5 · Please read before accepting

Party A — Service Provider

Aurivox Financial Services LLP

AMFI-Registered MFD · ARN-329000
Bangalore, Karnataka, India

Party B — Client

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As named on the cover page

1. Purpose

Both parties wish to explore and maintain a financial distribution and wealth management relationship. In the course of this engagement, each party may disclose confidential information to the other. This Agreement governs the use and protection of such information.

2. Definition of Confidential Information

Confidential Information includes all information disclosed by one party to the other — whether orally, in writing, electronically, or through any other means — that is designated as confidential or that would reasonably be understood to be confidential given its nature. This includes personal financial data, investment strategies, proprietary research, product structures, fee frameworks, client communications, and all materials shared in connection with this engagement.

3. Obligations of Confidentiality

Each party agrees to hold the other's Confidential Information in strict confidence, use it solely for the purpose of this engagement, not disclose it to any third party without prior written consent, and take all reasonable steps to protect it — no less protective than those applied to its own confidential information.

4. Permitted Disclosures by Aurivox

Aurivox Financial Services LLP may share the Client's information with the following parties, strictly to the extent necessary to deliver services:

Mutual fund houses, Asset Management Companies (AMCs), Registrar & Transfer Agents (RTAs), and KYC Registration Agencies (KRAs) required for transaction processing and account servicing.
Stock exchanges including NSE and BSE, and their affiliated depositories, clearing corporations, and members, where applicable to the client's portfolio.
Issuers and intermediaries for fixed income instruments, bonds, non-convertible debentures, market-linked debentures, structured products, insurance products, and any other financial instruments through which services are rendered to the client.
Banking institutions, payment processors, and custodians involved in the settlement of the client's financial transactions.
Portfolio management, CRM, and technology platforms used by Aurivox, provided such parties are bound by equivalent data protection obligations.
Regulatory authorities (AMFI, SEBI, CBDT, RBI, PMLA authorities, and any other applicable regulator) where disclosure is required by applicable law, regulation, or court order.

In no case will Aurivox share Client information with any third party for commercial, marketing, or any non-service purpose without the Client's explicit written consent.

5. Obligations of the Client

All product presentations, research materials, market insights, portfolio strategies, and communications provided by Aurivox are proprietary. The Client agrees not to share, reproduce, forward, or publish such materials — in whole or in part — to any party outside the Client's immediate household without prior written consent from Aurivox.

6. Exclusions & Governing Law

Obligations do not apply to information that is publicly available, was already known to the receiving party, is independently developed, or must be disclosed by law. This Agreement is valid for the duration of the client relationship with Aurivox Financial Services LLP. It is governed by the laws of India; disputes are subject to the exclusive jurisdiction of courts in Bangalore, Karnataka.

I have read and understood the terms of this Mutual Non-Disclosure Agreement and agree to be bound by its provisions. I confirm this constitutes my digital acceptance.

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Investor Risk Profiler

Section 3 of 5 · 25 questions · Takes ~8 minutes

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Document Checklist

Section 4 of 5 · Please acknowledge each mandatory item

Please arrange clear digital scans or photographs of the following documents. All documents should be self-attested and may be shared securely via email or the link provided by your relationship manager.

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Client Declaration & Digital Sign-Off

Section 5 of 5

Please read all of the following declarations carefully. By checking the box below and completing your sign-off, you confirm that you have read, understood, and agree to each and every point stated herein.

All information I have provided in this onboarding kit is true, accurate, and complete to the best of my knowledge.
I have read and accepted the terms of the Mutual Non-Disclosure Agreement set out in Section 2 of this document.
I consent to Aurivox Financial Services LLP sharing my information with AMCs, RTAs, KRAs, exchanges, banking institutions, and technology platforms, strictly for the purpose of rendering financial distribution services to me.
I understand that Aurivox Financial Services LLP is an AMFI-registered Mutual Fund Distributor (ARN-329000) and not a SEBI-registered Investment Advisor or Portfolio Manager. The services provided are those of a distributor and do not constitute regulated investment advice.
I understand that investments in mutual funds and other financial products are subject to market risks. Past performance is not indicative of future results. I have not been guaranteed any returns.
I agree not to share, reproduce, or distribute any product presentations, research materials, or communications provided by Aurivox with any third party without prior written consent.
I confirm that the source of funds to be invested is from legitimate income sources and that I am fully compliant with applicable FEMA, PMLA, and income tax regulations.
I consent to receiving communications from Aurivox Financial Services LLP via email, phone, and WhatsApp for investment-related updates, reviews, and service notifications.

Regulatory Disclosure

Aurivox Financial Services LLP is registered with AMFI as a Mutual Fund Distributor under ARN-329000. We are not registered as an Investment Adviser under SEBI (Investment Advisers) Regulations, 2013, nor as a Portfolio Manager under SEBI (Portfolio Managers) Regulations, 2020.

Products distributed by Aurivox may include mutual funds, bonds, non-convertible debentures, market-linked debentures, structured products, and other regulated financial instruments. All products carry inherent risks including potential loss of principal. Clients are advised to read all scheme-related documents, offer documents, and term sheets carefully before committing funds.

Commission and distributor fees, where applicable, are disclosed in accordance with AMFI guidelines and applicable SEBI regulations. Aurivox Financial Services LLP, its partners, and employees may have a personal interest in certain products distributed. Any such conflict, where material, will be disclosed to the client prior to the transaction.

I confirm that I have read, understood, and agree to all eight declarations above, the regulatory disclosures, and the terms of the Non-Disclosure Agreement. I acknowledge that checking this box and entering my details below constitutes my legally valid digital signature and consent.

Full Name

Date

Email Address

Mobile Number

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You Are Now Onboarded

You have taken the first step towards a meaningful financial journey — one built on clarity, expertise, and a partnership that places your growth at the centre of everything we do. Welcome to Aurivox. Our team will be in touch with you shortly to take things forward.

Your submission has been securely received by the Aurivox team. No further action is required on your part.