First CMM Filing for SEBI Portfolio Managers: Key Compliance Checks
Preparing for your first CMM filing on PARAS? This article covers key compliance checks, common gaps, and practical action points before submission.
Beyond the Checklist: What a SEBI PMS Inspection Really Tests
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.
All About SEBI’s Social Media Disclosure Requirement for Intermediaries
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.
Annual Internal Audit for PMS – Are you prepared?
Is your PMS compliant? Here are the 10 most common gaps in the governance of the PMS firms observed during the previous audits.
Is your AIF application aligned with SEBI expectation?
Are you looking to apply for AIF license? Here are the 5 common gaps that delay the process.
SEBI Redefines Entry Norms: Simplifying the Path for IAs and RAs
Are you looking to apply for the RIA or RA license?
SEBI has relaxed the entry barriers.
SEBI Allows IAs & RAs to Share Past Performance — Here’s All You Need to Know
For years, the RIA and RAs were prohibited to display of their past performance. SEBI’s October 30, 2025 circular provides an interim arrangement allowing IAs / RAs to share certified past performance under strict conditions. Here is all you want to know.
Algo trading / RA / SEBI
SEBI’s 2025 Algo-Trading Framework: A Practical Guide
SEBI has issued a comprehensive framework for algo trading in February 2025 for safer participation of retail investors. This framework puts major responsibility on the brokers and algo providers.
SEBI Compliance Audits: Common Pitfalls for RIA(s) and RA(s)
Audits aren’t just about flagging issues, they’re a roadmap for improvement. Read on to know the common audit observations for RIAs and RAs.