All about the compliance audit for Investment Advisers (RIAs)
Audit season starts as soon as a financial year gets …
Tick Audit v/s Compliance Audit
I get inquiries for my compliance audit services from SEBI …
How can a company conduct EGM through Video Conference?
COVID-19 outbreak has forced MCA to think of ways for …
Demystifying enhanced qualification requirements for SEBI Investment Advisers
Siddharth Shah is a registered investment adviser (RIA) and has …
Compliance relief package by MCA in the wake of COVID-19
The Ministry of Corporate Affairs (MCA) has announced several relief …
All about the Companies Fresh Start Scheme, 2020 (CFSS-2020)
With the start of a new financial year and in …
Will SEBI’s measures strengthen the conduct of RIAs?
Four consultation papers and several circulars later, Investment Advisers (IAs) …
All about the LLP Settlement Scheme, 2020
Government has taken yet another step to promote ease of …
SEBI’s consultation paper on RIA regulations- Here is my perspective!
On the evening of Jan 16, 2020, lots of messaging …
SEBI approves changes in the PMS regulations
In August 2019, SEBI had issued consultation paper on proposed …