April 19, 2021 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on Snapshot of SEBI’s Informal Guidance on Investment Adviser Regulation Snapshot of SEBI’s Informal Guidance on Investment Adviser Regulation SEBI, on payment of fees under its informal guidance scheme, gives clarity with respect to interpretation and applicability of act, rule, regulation, guideline, circular, etc. Various organisations till date have sought guidance from SEBI, with respect to various clauses of… Continue Reading
April 13, 2021 C S Megha Post in Latest Blog,Research Analyst,SEBI 1 Comment on SEBI Research Analyst Regulation 2014-Research Analyst Annual Compliance Requirements SEBI Research Analyst Regulation 2014-Research Analyst Annual Compliance Requirements After a complete regulatory overhaul in Investment Advisory regulations SEBI is soon expected to come out with regulatory overhaul for Research Analyst space also. There is a greater need to align you with the regulation and be on the right… Continue Reading
March 15, 2021 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on An alert for Investment Advisers w.r.t the clauses applicable from April 01, 2021 An alert for Investment Advisers w.r.t the clauses applicable from April 01, 2021 An alert for Investment Advisers w.r.t the clauses applicable from April 01, 2021 Hi, Year end is approaching and to ensure that the FY 2020-21 is effectively closed, we would like to draw your attention towards the compliance with the… Continue Reading
January 14, 2021 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on Detailed Analysis of Securities and Exchange Board of India (Investment Advisers) (Amendment) Regulations, 2021 Detailed Analysis of Securities and Exchange Board of India (Investment Advisers) (Amendment) Regulations, 2021 After much pulsations finally when the dust has started settling, SEBI has come out with a new amendment in IA regulation. SEBI has come out with another amendment, Securities and Exchange Board of India (Investment Advisers) (Amendment) Regulations, 2021 on… Continue Reading
November 25, 2020 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on DETAILED ANALYSIS OF SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 DETAILED ANALYSIS OF SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 To ease your burden, we have come up with a detailed analysis of the amendments to IA regulation, so that in spite of googling for the same, you may get all your answers at once. These amendments would be applicable… Continue Reading
October 20, 2020 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on Administration and Supervision of Investment Advisers- SEBI Circular dated August 06, 2020 Administration and Supervision of Investment Advisers- SEBI Circular dated August 06, 2020 Since the time SEBI IA regulations, 2013 has been notified, SEBI has been floating various consultation papers proposing various policy changes. We have already seen the amendments notified by SEBI vide SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 in the month… Continue Reading
September 1, 2020 C S Megha Post in Latest Blog Leave a Comment on Changing landscape of Investment Advisory- New opportunity for many and disquiets for some Changing landscape of Investment Advisory- New opportunity for many and disquiets for some Being a financial advisor is not easy, specially in the current situation when the coronavirus pandemic and containment measures have plunged the global economy into deep contraction. Investment advisory fraternity is not only engaging with their clients to support them… Continue Reading
July 6, 2020 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on KEY HIGHLIGHTS OF SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 KEY HIGHLIGHTS OF SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory… Continue Reading