April 1, 2021…. The D day in the life of an Investment Adviser..

For existing RIAs – the new guidelines became applicable.

For those who are planning to apply – the reduced registration fees become applicable.

Not to forget, the existing individual investment advisers have to convert to non-individuals as soon as the number of their clients reaches to 150.

With the amendments and the new guidelines, setting up business in the new regime is a challenge.

There is a whole big list of compliance that needs to be taken care of.

Are you up for the challenge?

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

Are you ready for SEBI inspection?

The start to any business or practice is always critical. It lays the foundation of your future business. And the start has to be in a compliant way.

But trying to figure out what needs to be done along with acquisition of clients to grow your business is a tedious task. You often end up spending more time in setting up of business processes than in growing your business.

And to add to it, you are unsure of doing the compliance in the right way..

Right?

Here is a quick way to help yourself.

I am going to guide you to the 5 most important aspects of compliance that you have to start doing now.

In fact, I am going to tell you a way of doing it right away through –

Startup package – The Essential Compliance for Investment Advisers.  

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

What will be covered in the package?

1. Detailed Client onboarding process
2. Ready to use Investment Advisory agreement
3. Guidance on Maintenance of records
4. Guidance on disclosure requirements
5. How to be ready for compliance audit

The package will also include a checklist along with sample / supporting documents.

And not to forget the BONUS….

Yes, once you are a subscriber to my package, you will get the following as bonus:

1. 30 minute consultation call with me.
2. Regular updates on amendments and circulars by SEBI for RIAs
3. Reduced fee for compliance audit services.

So, there is whole list of benefits.

The package is originally priced at Rs. 30,000/-. However, currently it is being offered at Rs. 30,000/-  Rs. 15,000 i.e. at 50% discount.

Subscribe to the package!

Understanding the SEBI requirements is an important aspect of operating a reputed business. 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.

Penalties aside, non-compliance can lead to closure of your business. You certainly don’t want to get into trouble with the regulator.

Subscribe to this package and be on the right side of the regulations.

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Note: 

1. Fee is exclusive of taxes. GST will be applicable

2. For online payment mode, convenience fees will be charged by the service provider. If you want to make a direct bank transfer, you can write to me at kruti@cskruti.com and I will provide the bank details to you.

3. Phone consultation has to be availed within 1 month of availing this package.  

4. This is a DIY package, where guidance can be sort through phone consultation. However, if you are looking for customisation and handholding in compliance, please write to me at kruti@cskruti.com.