SEBI taps stock exchange for RIA supervision
SEBI has a new found focus on Registered Investment Advisers …
All About The Latest SEBI RIA Amendment Regulations
Finally! Yes, finally, the long awaited amendments to SEBI (Investment …
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 …
Demystifying enhanced qualification requirements for SEBI Investment Advisers
Siddharth Shah is a registered investment adviser (RIA) and has …
Will SEBI’s measures strengthen the conduct of RIAs?
Four consultation papers and several circulars later, Investment Advisers (IAs) …
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 …
SEBI proposes big changes for Portfolio Managers
If you are running a PMS or planning to start …
CS Edge – Issue 8: SEBI modifies process to get SCORES authentication for registered intermediaries
It is mandatory for all listed entities and SEBI registered …
