When you think of providing services related to stock market, you need to first check whether you need to get registered with SEBI under any regulations.
And, it does not end there. Once you registered with SEBI, you also need to comply with the regulations.
I have been helping various individuals, partnerships, companies and LLPs with the following regulations:
- SEBI (Investment Advisers) Regulations, 2013
- SEBI (Research Analyst) Regulations, 2014
- SEBI (Portfolio Managers) Regulations, 2020
- SEBI (Alternate Investments Funds) Regulations, 2012
- SEBI (Stock Brokers) Regulations, 1992
Services for application to SEBI under various regulations
— Guiding with documentation
— Filling and filing of application
— Assistance in resolving of queries from SEBI
SEBI Compliance Audit and issue of compliance certificate
— Annual compliance audit for Investment Advisers
— Annual compliance audit for Research Analysts
— Compliance audit for PMS
— Compliance audit for AIF
— Compliance audit for Stock Brokers
Ongoing Advisory and Retainer services
— Ongoing advisory under various regulations
— Handholding with compliance
— Retainer services for compliance of the regulations
We approached Kruti for compliance seeing her past experience in working with investment advisers. Due to our unique business model it was a challenge initially to get the process right. However, Kruti took all the extra efforts to understand the systems and processes that we followed and helped us to adhere to all SEBI regulations. We can now relax about compliance knowing that we have one of the best compliance officers to provide us with the right advice. Thank you, Kruti!
– Shamshad Sheriff, Director, 29k Investment Advisers Pvt. Ltd., Bangalore
Appearance before SEBI
— Drafting of reply to order under various regulations
— Filing of documents
— Appearance before SEBI on behalf of clients
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