Regulatory Alerts2025-08-07
Securities and Exchange Board of India (Investment Advisers) Regulations, 2013
The Securities and Exchange Board of India issues these regulations to mandate registration for all persons providing investment advice for consideration, while defining key terms such as investment adviser, assets under advice, and trading calls. The framework establishes eligibility criteria for registration, requiring applicants to meet qualification standards, maintain specified deposits, and satisfy fit and proper person norms. It also outlines exemptions for certain professionals and intermediaries providing incidental advice, and prohibits the use of specific nomenclatures like Independent Financial Adviser without valid registration.
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