Regulatory Alerts2025-12-24
Added · Updated
Securities and Exchange Board of India (Intermediaries) Regulations, 2008
Issued by the Securities and Exchange Board of India (SEBI), these regulations establish a unified registration and compliance framework for all registered securities market intermediaries. The rules mandate that intermediaries obtain and maintain a permanent certificate by satisfying eligibility and fit-and-proper criteria, continuously updating public disclosures, and appointing dedicated compliance officers to monitor regulatory adherence. Intermediaries must promptly redress investor grievances within forty-five days, strictly adhere to a prescribed code of conduct, and avoid unauthorized associations with unregistered entities offering investment advice or performance claims.
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