Legal & Compliance

Governance Policy

Corporate Governance Framework and Investment Committee Guidelines

Last Updated: October 24, 2025

Commitment to Excellence

Indie Hub maintains the highest standards of corporate governance, transparency, and accountability in all investment decisions and operations.

1
Governance Principles

Indie Hub Private Limited is committed to maintaining the highest standards of corporate governance. Our framework ensures that all investment decisions are made with integrity, transparency, and in the best interests of our stakeholders.

Core Principles:

Transparency

Clear communication with all stakeholders about decisions and operations

Accountability

Defined responsibilities and oversight mechanisms at all levels

Fairness

Equitable treatment of all parties in investment and business dealings

Compliance

Adherence to all applicable laws, regulations, and industry best practices

2
Organizational Structure

Board of Directors

The Board provides strategic oversight and ensures compliance with fiduciary duties.

Meets quarterly or more frequently as required
Reviews fund performance, risk management, and compliance
Approves major strategic decisions and policies
Ensures alignment with investor interests

Investment Committee

The Investment Committee is responsible for evaluating and approving all investment opportunities.

Composition

  • • Managing Partners
  • • Senior Investment Professionals
  • • Independent Advisors
  • • Domain Experts (as needed)

Responsibilities

  • • Deal evaluation and approval
  • • Portfolio monitoring
  • • Risk assessment
  • • Exit strategy decisions

Compliance & Risk Committee

Oversees regulatory compliance, risk management, and internal controls.

Monitors regulatory compliance and industry standards
Reviews risk management frameworks and policies
Conducts internal audits and assessments
Ensures KYC/AML compliance

3
Investment Decision Process

Our investment process is rigorous, transparent, and designed to ensure thorough evaluation of opportunities:

1

Initial Screening

1-2 days

Applications reviewed for basic eligibility criteria

2

Due Diligence

2-4 weeks

Comprehensive analysis of business model, financials, team, and market

3

Committee Review

1 week

Investment Committee evaluates opportunity and makes recommendation

4

Final Approval

3-5 days

Board of Directors provides final approval for investments above threshold

5

Term Sheet & Closing

2-3 weeks

Negotiation, documentation, and fund disbursement

Note: Timeline may vary based on deal complexity, due diligence findings, and documentation requirements.

4
Conflict of Interest Policy

We maintain strict policies to identify, disclose, and manage conflicts of interest:

Disclosure Requirements:

All board members and investment professionals must disclose personal investments and business relationships
Any potential conflicts must be reported before participating in investment decisions
Conflicted individuals must recuse themselves from related deliberations and votes
Related-party transactions require independent committee approval

Examples of Conflicts:

•Personal investment in portfolio companies
•Family members as founders or key employees
•Competing business interests
•Financial relationships with service providers
•Board positions in competing firms
•Gifts or benefits from portfolio companies

5
Risk Management Framework

Our comprehensive risk management framework identifies, assesses, and mitigates risks across all operations:

Investment Risk

  • •Market volatility
  • •Startup failure
  • •Valuation risk
  • •Liquidity risk

Operational Risk

  • •Process failures
  • •Technology issues
  • •Fraud & misconduct
  • •Key person dependency

Compliance Risk

  • •Regulatory changes
  • •Legal disputes
  • •Tax implications
  • •Reporting failures

Risk Mitigation Strategies:

Portfolio diversification across sectors and stages
Thorough due diligence and background checks
Regular portfolio monitoring and reporting
Insurance coverage for key risks
Contingency planning and scenario analysis
Strong internal controls and audit procedures

6
Transparency & Reporting

We maintain transparent communication with all stakeholders through regular reporting:

Investors (LPs)

Quarterly
  • •Portfolio performance reports
  • •Fund valuations
  • •Investment pipeline updates
  • •Capital calls and distributions

Portfolio Companies

Monthly/Quarterly
  • •Board meeting minutes
  • •Strategic guidance
  • •Networking opportunities
  • •Follow-on funding decisions

Regulatory Authorities

As Required
  • •Compliance filings
  • •Annual reports
  • •Audit reports
  • •SAR submissions

Public Disclosure

Annual
  • •Impact reports
  • •ESG initiatives
  • •Portfolio highlights
  • •Industry thought leadership

7
Code of Conduct & Ethics

All team members, board members, and advisors must adhere to our Code of Conduct:

Professional Integrity

  • Act honestly and ethically
  • Maintain confidentiality
  • Avoid conflicts of interest
  • Report violations promptly

Fiduciary Duty

  • Act in best interest of LPs
  • Exercise due care
  • Maintain loyalty
  • Disclose material information

Fair Dealing

  • Treat all parties fairly
  • No discrimination
  • Respect competition
  • Honor commitments

Compliance

  • Follow all laws & regulations
  • Maintain accurate records
  • Cooperate with audits
  • Uphold company policies

Violations: Any breach of the Code of Conduct may result in disciplinary action, including termination and legal proceedings.

8
ESG & Social Responsibility

Indie Hub is committed to Environmental, Social, and Governance (ESG) principles:

🌱

Environmental

  • •Support green tech startups
  • •Reduce carbon footprint
  • •Promote sustainability
  • •ESG due diligence
🤝

Social

  • •Diversity & inclusion
  • •Fair labor practices
  • •Community engagement
  • •Social impact metrics
⚖️

Governance

  • •Transparent operations
  • •Ethical leadership
  • •Stakeholder rights
  • •Accountability frameworks

9
Policy Review & Updates

This Governance Policy is subject to annual review and updates to reflect:

  • Changes in applicable laws and regulations
  • Industry best practices and standards
  • Lessons learned from operations
  • Stakeholder feedback and recommendations

Governance Contact

For questions about our governance framework or to report concerns:

Chief Governance Officer:

Indie Hub Private Limited

Whistleblower Hotline:

whistleblower@indiehub.in

Confidential and anonymous reporting available

Related Legal Documents

Terms & Conditions

Our terms of service

Privacy Policy

How we protect your data

KYC/AML Policy

Identity verification requirements

Good governance is the foundation of sustainable growth and stakeholder trust.

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