Execution Only Platforms – Has SEBI thrown a lifeline?
SEBI enforced Direct Plans of mutual funds over 10 years …
Unregistered Investment Advisers – SEBI is watching
A question that I often get asked is “There are …
All about the Advertisement Code for Investment Advisers and Research Analysts
All SEBI registered intermediaries have to follow the code of …
Are you complying with this PMS client onboarding requirement?
I am in the process of doing an internal audit …
Community Announcement – A Compliance Job Board
A SEBI registered intermediary inspires confidence in the investor. However, …
New year, new beginnings..
Year 2022 has been a roller coaster but a joyful …
How to convert from Individial RIA to Non-Individidual RIA?
If you are an individual Investment Adviser registered with SEBI, …
How not to get your PMS license suspended by SEBI?
On November 30, 2022, SEBI suspended the PMS license of …
CapitalVia Case – A reminder for RIA Compliance
SEBI has imposed the maximum penalty of Rs. 1 crore, …
Rationale required for all the recommendations by SEBI Research Analyst
Recently, I conducted the compliance audit for an individual research …