Develop a 100% SEBI compliant Registered Investment Advisers practice – an online course

As SEBI pushes through a new order in the investment advisory space, several advisers like you are yet to figure out how to align themselves to the regulations.

Setting up business in the new regime is already a challenge. On top of that, there is a whole big list of compliance that needs to be taken care of.

The fact is, it is not just you but also your team members  who have to be up for the challenge.

Do you and your team understand compliance as expected by the Investment Advisers Regulations?

Do you and your team know the difference between suitability assessment and investment rationale?

Are  the execution and the advisory services really segregated?

Are you ready for the SEBI Audit?

If the above questions make you wonder, then you can assume that you are not on the right track.

SEBI is strict and it is watching. As you know, SEBI has issued orders against intermediaries who have not complied with the SEBI (Investment Advisers) Regulations, 2013. The Finance Bill 2018 has given powers to SEBI to charge penalties for non-compliance as high as Rs. 1 lakh per day till the non-compliance continues.

You certainly don’t want to get into trouble with the regulator. More importantly, you want to present a professional image to your clients too.

How can you achieve both with one shot?

Here is a quick way in which you can help yourself. Train yourself and your team to beat the compliance blues and rock as a advisor of choice for your investor clients.

CS Kruti’s online course on “Developing a fully compliant RIA Practice” to win the compliance battle. 

The course has been designed with my experience working with several Investment Advisers and the specific pain points advisers have with regards to compliance.

So, in effect, this course is not pure academia but uses real work scenarios to understand gaps that you may have and how you can eliminate them to develop a fully compliant Advisory practice.

What will be covered in the course?

The course  will cover several areas around your practice areas of client onboarding, documentation, internal processes and audit.

Some of the topics covered in this course are:

• What are the disclosure requirements?
• What are the records to be maintained?
• What are the KYC norms and how to comply with them?
• Is risk profiling compulsory?
• How to segregate activities?
• What needs to be included in client agreements?
• How to get ready for annual compliance audit?

This course will be an interactive one, touching upon the practical aspects. You will get case studies  to understand what SEBI expects from you.

Through cases studies, quizzes, Q&A, etc. your team members will be more confident in helping you build a compliant practice.

Who will find this course useful?

Existing advisory firms, companies and their teams can use the course to build a solid understanding of the SEBI’s regulation as well as the various compliance practices that should be incorporated.

So, are you ready?

As we gear towards the course launch, I have come to you to register your interest in advance.

There are 2 benefits of the same.

One, you will be one of the first to get access to the course.

Two, when you register your pre-interest, you will also get a discount coupon which you can use to subscribe to the course at a much lower fee.

Isn’t that good?

Great!

Please submit your pre-interest in the form below.

If you are not able to fill the details in the form, click here.

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If you have queries, you can write to me at kruti@cskruti.com.