Workshop on Compliance of SEBI (Investment Advisers) Regulations, 2013

As SEBI pushes through a new order in the investment advisory space, several participants like you have 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.

As I see it, very few advisers are doing it right and most don’t even know what they have to do.

Are you sure of compliance of the Investment Advisers Regulations?

Do you know what SEBI expects from you?

Are the execution and the advisory services really segregated?

If these questions sound alien to you, then here is a quick way in which you can help yourself.

I am conducting a workshop on Compliance of SEBI (Investment Advisers) Regulations, 2013, in Mumbai, where you can find out answers to all these questions and much more.

This workshop will be useful for all those who are in process to setting up their investment advisory practice as well for those who have registered with SEBI for a couple of years now but are unsure of the compliance.

What will be covered in the workshop?

The compliance requirements are mainly covered in Chapter III of the Regulations. I will cover several areas including:

• 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?

This workshop will be an interactive one, touching upon the practical aspects. I will also take up a case study to understand what SEBI expects from you.

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.

After attending this workshop, you will be able to know:

1. What are the compliance requirements under the regulations
2. What is applicable to your kind of business and how to comply with it
3. How to get ready for annual compliance audit

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I have been reading your articles regularly on RIA compliance and I can’t thank you enough. I am still not sure if I am doing it all correct. I am so glad this workshop is happening. Have signed up for it and looking forward to all the learning in person. And yes, I have lots of questions to ask.

– Vipin Khandelwal, Founder, Unovest

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When and where is the workshop?

Day and Date: Friday, April 6, 2018

Time: 09.30 am to 01.00 pm

Venue: LJ Meeting, Training and Seminar Halls, Dadar West, Mumbai (5 min walking distance from Dadar station)

What are the fees?

Rs. 1,500 (all inclusive) per participant.

Remember, the cost of non-compliance is much higher than the cost of compliance.

Registrations closed. Next workshop likely in May 2018.

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