Web21 Oct 2024 · As per Regulation 3 (3) of the SEBI (Investment Advisers) Regulations, 2013 notified on July 3, 2024 – No person, while dealing in distribution of securities, shall use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless registered with SEBI as an Investment Adviser. Web19 May 2024 · As per said SEBI (IA) Regulation, 2013 Investment advisers are required to conduct yearly audit in respect to compliance with the regulations from a member of Institute of Chartered Accountants of India or Institute of Company Secretaries of India within six months from the end of each financial year.

SEBI Regulations

Web10 Apr 2024 · The market regulator SEBI published an advertisement code for Research Analysts and Investment Advisers on April 5th 2024. All registered Investment Advisers (IAs) and Research Analysts (RAs) must abide by the advertisement code, according to that circular from the Securities and Exchange Board of India (SEBI). Web25 Jul 2024 · The main highlights of the recent amendment to SEBI (Investment Advisors) Regulations are as follows: Eligibility criteria for investment advisors. The investment … east orange new jersey wikipedia

How to become a Registered Investment Advisor (RIA) in India

Web1 Sep 2024 · The main highlights of the recent amendment to SEBI (Investment Advisors) Regulations are as follows: Eligibility criteria for investment advisors Enhanced eligibility … Web5 Aug 2024 · Vide its gazette notification of July 03, 2024, the Securities and Exchange Board of India (SEBI) has notified amendments to these Principal Regulations 1 . In … Web7 Apr 2024 · The regulations clearly state that no one can act as or claim to be an investment adviser without obtaining a registration certificate from SEBI. This means that registration is mandatory for investment advisers. SEBI regulations exempt certain categories of people from registration. east orange new jersey history