Risk Disclosure & Compliance

There is no assurance that any of the companies we invest in will go public soon, if ever, nor are there any assurances that the securities of those companies will become publicly traded or unrestricted. Private investments are not appropriate for all investors. This asset class involves a high degree of risk, volatility, and illiquidity, beyond that associated with traditional asset classes. Investors should have the financial ability and willingness to accept the risks (including, among other things, the risk of loss of their entire investment and the lack of liquidity) that are characteristic of these types of investments. Investors should consider private investments a supplement, comprising a modest portion of an overall investment strategy.

General Disclosure

Investors are solely responsible are advised before making an investment decision with respect to any UNLISTEDKART displayed equity to carefully review the respective offering documents (including any relevant underlying agreements), and the related subscription documents regarding the Funds and are responsible for performing such due diligence as deemed appropriate, including consulting their own legal, tax, ERISA, and financial advisers. Any information provided by UNLISTEDKART, and its affiliates should not form the primary basis of the investment decision. This material is based upon information UNLISTEDKART believes is reliable. However, UNLISTEDKART does not represent or warrant that it is accurate, complete, and/or up to date.

UNLISTEDKART does not accept any responsibility to update any opinion, analyses or other information contained in the material. Material provided by UNLISTEDKART is for your general information only and solely to assist you in deciding whether to proceed with a further investigation of the Funds. It is not an offer or solicitation to buy or sell any security, which can be made only through the delivery of formal offering document(s) which include, among others, a confidential offering memorandum, limited liability company operating agreement, subscription agreement, and related subscription documents. Such formal offering documents contain additional information not set forth herein, including information regarding certain risks of investing, which such additional information is material to any decision to invest in the Funds.

The information contained herein is based on certain assumptions, hypotheses, estimates, and anticipated outcomes which may or may not be true. This Website contains forward-looking statements, including observations about markets and industry and regulatory trends as of the publication date of this Website. Forward-looking statements may be identified by, among other things, the use of words such as “expects,” “anticipates,” “believes,” or “estimates,” or the negatives of these terms, and similar expressions. Forward-looking statements reflect the Funds’ views as of such date with respect to possible future events. Actual results could differ materially from those in the forward-looking statements because of factors beyond the Funds’ control. Investors are cautioned not to place undue reliance on such statements. No party has an obligation to update any of the forward-looking statements on this Website. Charts, tables, and graphs contained in this Website are not intended to be used to assist the reader in determining which securities to buy or sell or when to buy or sell securities. Performance may fluctuate, especially over short periods. In this Website, performance results are shown the net of all fees and expenses (such as transaction costs, management, performance, administrative and any other fees and expenses applicable to the Funds) and may reflect the reinvestment of dividends and other earnings. Statements made herein that are not attributed to a third-party source reflect the views and opinions of UNLISTEDKART. No representation is made that any investor will or is likely to achieve results comparable to those shown or will make any profit or will be able to avoid incurring substantial losses. The past performance of UNLISTEDKART, its principals, partners, or employees, or any of the securities referred to herein is not indicative of future returns. Performance results are generally net of applicable fees and reflect reinvestment of profits. Investment returns will fluctuate and may be volatile, especially over short time horizons.

The Funds’ investment strategy involves investments for which no public market exists. Little public information exists about many of these investments, and the Funds will be required to rely on its diligence efforts to obtain adequate information to evaluate the potential risks and returns involved in these investments. Therefore, the greater risk that the Funds may invest based on incomplete or inaccurate information may adversely affect the Funds’ investment performance, which could impact both initial and ultimate valuations. This could subject the Funds to greater risk than investments in established publicly traded companies or businesses and negatively affect the Funds’ investment returns. The Funds may not be able to secure shares in some or all the securities that have been targeted for purchase. If the shares are not accessible, the Funds will not be able to execute their investment strategy. There is no assurance that the Funds’ diligence efforts will result in an investment being successful. There is no guarantee that UNLISTEDKART will be successful in achieving the Funds’ investment objectives. An investment in the Funds contains risks, including the risk of complete loss. Any performance reflected herein is estimated, is based on incomplete information and is subject to change. Actual results, when available, may differ. Given the nature and number of companies underlying these securities, the Funds should be considered a more volatile and risky investment. The returns for the Funds have not yet been audited and may change because of audit. Any trademarks or business names in this Website are included solely for informational purposes and, in certain cases, as examples of companies in the asset class in which the Funds may invest, and any such trademarks and business names are owned by their respective trademark owners. While the companies represented by such trademarks and business names may be invested in by the Funds, there is no guarantee that such companies will be invested in by the Funds.


KYC, AML & FATCA Policy:

At UnlistedKart, we are committed to maintaining the highest standards of integrity and professionalism in our relationship with you, our client. This commitment extends to the personal information and financial dealings you entrust to us. As part of this commitment, we undertake to provide full transparency regarding our policies, especially those related to Know Your Customer (KYC), Anti-Money Laundering (AML), and the Foreign Account Tax Compliance Act (FATCA).


Our Commitment

The Facilitator, herein referred to as UnlistedKart, hereby undertakes that it has fully disclosed all applicable policies, including but not limited to KYC, AML, and FATCA, on its website. This disclosure is aimed at ensuring all parties involved are well-informed of their rights and obligations, as well as the measures UnlistedKart employs to uphold regulatory compliance and ethical standards.


Know Your Customer (KYC)

Our Know Your Customer (KYC) policy is designed to deter and reduce the likelihood of UnlistedKart becoming a conduit for financial misconduct or the misuse of our offerings. It is imperative for us to solicit from all clients legitimate, precise, and prompt data concerning their identity and their financial engagements. For the transactions we handle, we gather necessary documents including the Customer Master List (CML), PAN Card, and a Cancelled cheque. Furthermore, for private transactions demanding comprehensive KYC, we obtain declarations and commitments regarding the origin of funds, eligibility, transnactional data sharing, and connections to neighbouring countires, all in adherence to the stipulations of local legislation and guidelines.


Anti-Money Laundering (AML)

UnlistedKart’s AML policy reflects our commitment to monitor and prevent any transactions that facilitate criminal activities, including the funding of terrorism and illegal money laundering. We conduct due diligence on all transactions processed through our platform and report any suspicious activities to the relevant authorities to ensure compliance with AML regulations.


Foreign Account Tax Compliance Act (FATCA)

In compliance with FATCA, UnlistedKart collects information from our clients to ascertain their U.S. tax status. This policy helps in the identification of accounts held by U.S. taxpayers or foreign entities in which U.S. taxpayers hold a substantial ownership interest, ensuring compliance with U.S. tax laws.


Accessibility of Our Policies

These policies are accessible on our website at all times. We encourage all our clients and stakeholders to review them thoroughly to understand how UnlistedKart operates within the framework of these regulations. This transparency is pivotal to our mutual success and ensures a secure and trustworthy environment for all parties involved.


Updates and Amendments

UnlistedKart reserves the right to update or amend these policies as necessary to comply with new regulations or to better serve our clients’ needs. Any such changes will be posted on our website and, where appropriate, notified to you directly.


Contact Us

Should you have any questions or require further clarification regarding any of our policies, please do not hesitate to contact us. Our dedicated team is here to provide you with the support you need to navigate these requirements effectively.