Time to scrap SEBI Research Analyst Regulations?
The recent settlement order against a registered research analyst – …
Can a Research Analyst provide model portfolio services?
I have been asked this multiple times by the advisers …
Should I register as an individual or a non-individual RIA? – A 5 point checklist
It is interesting to see that a lot of new …
Accredited Investors solve a big concern for RIAs
It is quite unusual for someone to call me at …
Additional disclosures for RIAs and Research Analysts by SEBI
On December 13, 2021, SEBI issued a circular with more …
Does advice on foreign securities fall under RIA regulations?
If you are providing advise on foreign stocks to Indian …
The curious case of regulations for Algo Trading
If you have started or planning to start services for …
All you wanted to know about reporting by SEBI Registered Portfolio Managers
SEBI introduced the new SEBI (Portfolio Managers) Regulations, 2020, effective …
The SRO for RIAs is here – All about how to obtain your BASL membership
For the last one year, an SRO (or Self-Regulatory Organisation) …
Electronic consent not allowed for agreements – SEBI’s clarification for RIAs
There is still a lot of ambiguity regarding interpretation of …