June 22, 2021 C S Megha Post in Latest Update Leave a Comment on BASL Circular – Framework for membership of RIA with BASL BASL Circular – Framework for membership of RIA with BASL Continue Reading
June 18, 2021 C S Megha Post in Uncategorized Leave a Comment on SEBI Circular June 18, 2021- Framework for administration and supervision of Investment Advisers- SEBI Circular June 18, 2021- Framework for administration and supervision of Investment Advisers- Continue Reading
June 15, 2021 C S Megha Post in Uncategorized Leave a Comment on SEBI Press Release dated June 14, 2021- BASL to administer and supervise IAs SEBI Press Release dated June 14, 2021- BASL to administer and supervise IAs SEBI Board in its meeting held on December 16, 2020 had approved amendment to SEBI (Investment Advisers) Regulations, 2013 (IA Regulations), requiring IAs to seek membership of a separate body recognized by SEBI for administration and supervision. SEBI vide its press release dated June 14,… Continue Reading
June 14, 2021 C S Megha Post in Investment Advisor,Latest Update,SEBI Leave a Comment on Arbitration Mechanism for IA Complaints- BASL Guidelines Arbitration Mechanism for IA Complaints- BASL Guidelines Continue Reading
June 14, 2021 C S Megha Post in Investment Advisor,Latest Update,SEBI Leave a Comment on Investors Grievances against RIA- BASL Guidelines Investors Grievances against RIA- BASL Guidelines Continue Reading
June 14, 2021 C S Megha Post in Investment Advisor,Latest Update,SEBI Leave a Comment on SOP on BSAL membership for Investment Advisors SOP on BSAL membership for Investment Advisors Continue Reading
June 14, 2021 C S Megha Post in Investment Advisor,Latest Update,SEBI Leave a Comment on FAQs on BSAL membership for Investment Advisors FAQs on BSAL membership for Investment Advisors Continue Reading
June 14, 2021 C S Megha Post in Latest Update Leave a Comment on Regulatory Sandbox Regulatory Sandbox Continue Reading
May 19, 2021 C S Megha Post in Investment Advisor,Latest Blog,SEBI Leave a Comment on FAQs on proceedings and actions initiated by SEBI against Investment Advisers FAQs on proceedings and actions initiated by SEBI against Investment Advisers SEBI initiates proceedings against the investment advisors and takes various actions depending on the violations observed. We have been receiving multiple queries with respect to proceedings and actions initiated by SEBI. To deal with the same and to aware all… Continue Reading
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