Regulatory Alerts2025-11-25
Securities and Exchange Board of India (Investment Advisers) Regulations, 2013
The Securities and Exchange Board of India issued these regulations to mandate that any person or entity providing investment advice for consideration must obtain a certificate of registration from the Board. The framework establishes strict eligibility criteria, including qualification and certification requirements for individuals and their associated persons, as well as net worth and fit and proper person tests for applicants. It further defines specific exemptions for professionals providing incidental advice and prohibits the use of titles like 'Independent Financial Adviser' without proper registration.
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