Regulatory Alerts2025-07-23
Added · Updated
Circular No. 20 of 2025-Submission of Information/data by Securities and Future Advisors
Securities and Future Advisors (SAs/FAs) must submit detailed operational, financial, and compliance data using standardized formats for companies and individuals. The requirements encompass company profiles, sponsor details, HR capacity, client demographics, business operations, digital presence, fee structures, and distribution activities. Entities are required to report specific metrics including employee certifications, system audit results, data breach incidents, and net worth figures, alongside a compliance undertaking from the Chief Executive Officer or the advisor.
Topics
Share