Particulars Frequency Submission date Submission Periodic Reporting Half Yearly Within 30 days from the end of the Half Year Reporting to be submitted on BSE Portal   https://membershipraia.bseindia.com SaaS Compliance Half Yearly After the end of the half-year ended March and September of the respective financial y......

Dear All, The SEBI Consultation Paper, issued in August 2023, focuses on proposing a new mechanism for fee collection by investment advisers and research analysts registered under SEBI. The paper aims to enhance transparency and streamline the fee collection process, ensuring a fair and accountable approach. It discusses potential methods, including direct payment, third-party collection, and dig......

Are you the one who can manage own portfolios and make right investment decisions? Are you among those to whom many of your relatives or may be friends call up to get advice on their portfolios but you couldn’t just because you are not registered as Investment Advisor.   So, if you are thinking of assisting people for making proper investment decisions you need to get yourself reg......

Once you plan to undertake activities of a Research Analyst, before starting to offer your services you need to get yourself registered with SEBI as a Research Analyst/ Research Entity. Registration is a straight forward process though dedicated online portal. The process is completely online and transparent. Questions you encounter once you decide to act as a Research Analyst: 1. What is Resear......

SEBI, on payment of fees under its informal guidance scheme, gives clarity with respect to interpretation and applicability of act, rule, regulation, guideline, circular, etc. Various organizations till date have sought guidance from SEBI, with respect to various clauses of IA Regulation. IA regulation has undergone many changes in the recent past, resulting in difference of opinion and interpret......

After a complete regulatory overhaul in Investment Advisory regulations SEBI is soon expected to come out with regulatory overhaul for Research Analyst space also. There is a greater need to align you with the regulation and be on the right side of the regulation as the regulator prepares to launch a review of regulatory compliance pertaining to Research analyst space, which has been kept in a rel......

An alert for Investment Advisers w.r.t the clauses applicable from April 01, 2021 pursuant to SEBI circular no SEBI/HO/IMD/DF1/CIR/P/2020/182 dated September 23, 2020 Year end is approaching and to ensure that the FY 2020-21 is effectively closed, we would like to draw your attention towards the compliance with the cut off dates set out in the SEBI circular no SEBI/HO/IMD/DF1/CIR/P/2020/182 dated......

Changing landscape of Investment Advisory Dear All, Being a financial advisor is not easy, specially in the current situation when the coronavirus pandemic and containment measures have plunged the global economy into deep contraction. Investment advisory fraternity is not only engaging with their clients to support them in this crisis like situation but also struggling to find answer to the que......

SEBI Circular dated August 06, 2020Since the time SEBI IA regulations, 2013 has been notified, SEBI has been floating various consultation papers proposing various policy changes. We have already seen the amendments notified by SEBI vide SEBI (INVESTMENT ADVISERS) (AMENDMENT) REGULATIONS, 2020 in the month of July. SEBI had earlier in April 01, 2019, floated a consultation paper to seek comments ......

To ease your burden, we have come up with a detailed analysis of the amendments to IA regulation, so that in spite of googling for the same, you may get all your answers at once. These amendments would be applicable from October 02, 2020. Following are the key amendments: Qualification and certification requirements: An individual investment adviser or a principal officer of a non-individua......