Heavy penalties can be levied on Investment Advisers, Research Analysts by SEBI!
The Finance Bill, 2018 has proposed amendments to The Securities …
SEBI Again Bowls A Googly with Consultation Paper On Investment Advisers Regulations
On January 2, 2018, SEBI issued the third consultation paper …
How to become an Investment Advisor in India?
Recently, several individuals have approached me to who know how …
How to get registered on SCORES – SEBI Complaints Redress System?
One of my clients, Rohit, recently got approval from SEBI …
Can A SEBI Registered Investment Adviser Charge Performance Based Fees?
One of the most puzzling aspects of an investment adviser’s …
6 Point Checklist for a Business Plan for SEBI IA and RA Application
If you are planning to register as an Investment Adviser …
SEBI – The Right Hand v/s the Left Hand
The right hand does not know what the left hand …
Do Robo-Advisors need to register with SEBI?
Are you a fintech startup? Are you too planning to …
10-point Audit Checklist for SEBI Research Analyst – Updated 2022
All SEBI registered Research Analysts and Investment Advisers have to …
When SEBI Research Analyst Regulations do not apply to you
You are passionate about stock markets and your research on …
