How are you ensuring that your compliance is as per SEBI’s guidelines?
SEBI has issued show cause notices against some registered Investment Adviser. The SEBI orders have either directed the RIAs and its directors to stop taking fresh business or has levied penalties or both.
What could have been the reason?
Simple! Non-compliance under SEBI (Investment Advisers) Regulations, 2013.
Though the entities pressed hard to convince SEBI that the requirements of the regulations are fulfilled, SEBI still found lapses.
And the result…. The RIAs paid the cost of non-compliance.
To cut the long story short, cost of non compliance is much higher than the cost of compliance.
SEBI as the “watch dog” of securities market is playing its role very diligently.
SEBI has powers to charge penalty of Rs. 1 lakh per day to Rs. 1 crore for non-compliance of Investment Advisers Regulation.
Are you ready to welcome SEBI?
If you are not sure, here is a quick way to help yourself.
I am conducting a webinar tomorrow i.e. on April 10, 2021 at 10am for Investment Advisers on The Top 5 Compliance Requirements for RIAs.
I will take you through the key ideas and actions which you can use to make sure that your advisory practice does not become non-compliant.
There is a Q&A session too.
The webinar is free of cost.
Click here to register for the webinar
If you have just started as an Investment Adviser, I believe you will find a lot of value in the session.
And yes, in my webinar, I will also share with you about a compliance package that helps you deal with the most crucial compliance requirements.
Registrations are closing soon!
Click here to register for the webinar
Please note the registration is mandatory to attend the webinar. If you have any queries, you can write to me at kruti@cskruti.com.