Compliance

Regulatory Information

Transparency in our regulatory standing, corporate governance, and compliance framework.

Corporate Identity

Company Details

Legal Entity: SPVH AMC Private Limited

CIN: U67110MH2022PTC381574

Registered Office: Mumbai, Maharashtra — 400051

Nature of Business: Investment management, portfolio management services, alternative investment fund management, and investment advisory services.

SEBI Registration Status

SPVH AMC is currently in the process of obtaining the following registrations from the Securities and Exchange Board of India (SEBI):

Portfolio Management Services (PMS)

Registration under SEBI (Portfolio Managers) Regulations, 2020 for providing discretionary, non-discretionary, and advisory portfolio management services to qualified investors.

Registration in Progress

Alternative Investment Fund — Category II

Registration under SEBI (Alternative Investment Funds) Regulations, 2012 for operating Category II AIFs that invest in unlisted securities, listed equities, debt instruments, and other permissible asset classes without leverage.

Registration in Progress

Alternative Investment Fund — Category III

Registration under SEBI (Alternative Investment Funds) Regulations, 2012 for operating Category III AIFs that employ diverse or complex trading strategies, including the use of leverage through investment in listed or unlisted derivatives.

Registration in Progress

Research Analyst (RA)

Registration under SEBI (Research Analysts) Regulations, 2014 for publishing research reports and providing research recommendations on securities.

Registration in Progress

Investment Adviser (IA)

Registration under SEBI (Investment Advisers) Regulations, 2013 for providing personalised investment advice to clients for a fee.

Registration in Progress

GIFT City IFSC — Offshore Fund Structures

Application for registration with the International Financial Services Centres Authority (IFSCA) at GIFT City, Gujarat, for setting up and managing offshore fund structures under the IFSCA (Fund Management) Regulations, 2022.

Registration in Progress

Regulatory Framework

SPVH AMC operates within the regulatory framework established by the following authorities and legislation:

  • Securities and Exchange Board of India (SEBI) — Primary regulator for securities markets, portfolio managers, AIFs, research analysts, and investment advisers.
  • International Financial Services Centres Authority (IFSCA) — Regulator for financial products and services within GIFT City IFSC.
  • Companies Act, 2013 — Governing corporate structure, compliance, and governance requirements.
  • Prevention of Money Laundering Act, 2002 (PMLA) — AML/KYC compliance obligations.
  • Income Tax Act, 1961 — Tax compliance and reporting obligations for investors and the company.
  • Foreign Exchange Management Act, 1999 (FEMA) — Regulations governing cross-border investments and offshore fund operations.

Governance & Compliance

SPVH AMC is committed to maintaining the highest standards of corporate governance and regulatory compliance:

  • Board Oversight: The Board of Directors provides strategic direction and oversight of all business activities, ensuring alignment with regulatory requirements and fiduciary obligations.
  • Compliance Function: A dedicated compliance team monitors adherence to all applicable regulations, internal policies, and industry best practices.
  • Risk Management: Comprehensive risk management frameworks are in place covering market risk, operational risk, credit risk, and compliance risk.
  • KYC & AML: Robust Know Your Client and Anti-Money Laundering procedures are implemented in accordance with SEBI, RBI, and PMLA requirements.
  • Conflict of Interest: Policies and procedures are established to identify, manage, and disclose potential conflicts of interest.

Investor Obligations

Investors engaging with SPVH AMC's products and services are advised to:

  • Read all scheme-related documents, including the Private Placement Memorandum (PPM), Contribution Agreement, and Disclosure Document, carefully before investing.
  • Complete all KYC formalities and provide accurate information as required under applicable regulations.
  • Understand the risks associated with investments in securities markets, including the possibility of loss of capital.
  • Seek independent professional advice from qualified financial advisers, tax consultants, and legal counsel.
  • Report any grievances or complaints through the designated channels provided by SPVH AMC.

Investor Grievance Redressal

SPVH AMC is committed to addressing investor grievances promptly and fairly. Investors may lodge complaints through the following channels:

Compliance Officer
SPVH AMC Private Limited
Registered Office Address, Mumbai — 400051
Email: compliance@spvhamc.com
Phone: +91 22 4000 0000

Investors may also lodge complaints on the SEBI Complaints Redress System (SCORES) portal at scores.sebi.gov.in for resolution of grievances against SEBI-registered intermediaries.

Important Notice

Until such time as the requisite regulatory registrations are obtained, SPVH AMC shall not solicit, accept, or manage client funds or provide investment advice in any capacity that requires regulatory authorisation. All services referenced on this website are subject to the receipt of applicable regulatory approvals from SEBI and/or IFSCA, as applicable.

Last updated: July 2026