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
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
February 2, 2021 C S Megha Post in Investment Advisor,Latest Update,SEBI Leave a Comment on Administration and Supervision of Investment Advisers dated 6th August, 2020 Administration and Supervision of Investment Advisers dated 6th August, 2020 Continue Reading
February 2, 2021 C S Megha Post in Latest Update Leave a Comment on Press release dated 3rd July, 2020 Press release dated 3rd July, 2020 Continue Reading
February 2, 2021 C S Megha Post in Latest Update Leave a Comment on Circular on free Trial dated 27th December, 2019 Circular on free Trial dated 27th December, 2019 Continue Reading