SEBI’s proposed MF-only PMS framework is more than a regulatory amendment. While the consultation paper focuses on eligibility and operational changes, its broader impact may be on how wealth management firms position themselves, differentiate their offerings and demonstrate investment capability in an increasingly competitive and evolving regulatory landscape.
As RIAs and RAs increasingly rely on technology platforms and third-party service providers, the line between operational outsourcing and outsourcing of core regulatory functions is becoming increasingly blurred. This article examines SEBI’s outsourcing framework, recent enforcement actions and the key functions that must always remain under the intermediary’s control.
RA / SEBI / Workshop / Seminar
Are you prepared for the upcoming compliance audit? The compliance …
SEBI’s new framework on retention of proceeds and inoperative fund status aims to simplify AIF winding up. Explore the process, practical implications, and unresolved questions for fund managers.
Obtaining an AIF registration is only the beginning. Recent SEBI orders reveal that many compliance failures arise not from ignorance of regulations, but from weak implementation. Through a conversation with a newly registered fund manager, we explore the compliance gaps AIFs cannot afford to overlook.
SEBI’s recent order against First Global Finance offers important lessons for PMS and other intermediaries beyond the specific facts of the case. The order highlights areas that every intermediary should review through a compliance lens.
Preparing for your first CMM filing on PARAS? This article covers key compliance checks, common gaps, and practical action points before submission.
A pre-licensing inspection by the SEBI is not just a documentation check—it is a real-time test of how well your PMS setup functions. This blog captures key observations on what actually matters during the inspection.
SEBI’s latest circular introduces mandatory disclosure of registration details on social media for regulated intermediaries, effective May 1, 2026. The requirement is prospective and focuses on transparency, not restriction.
Is your PMS compliant? Here are the 10 most common gaps in the governance of the PMS firms observed during the previous audits.