After passing only the NISM Investment adviser (XA-L1) and (XB-L2) and NISM Research Analyst (XV) exams can I give advice and take service charge?

SEBI registration is a hot topic nowadays, everyone wants to be a SEBI-registered Research analyst and Investment adviser. The common misconception is that if we pass NISM exams prescribed by SEBI for Research analyst and Investment adviser, we are certified advisers and give advise and start taking service charges. The term certified and registered are […]

After passing only the NISM Investment adviser (XA-L1) and (XB-L2) and NISM Research Analyst (XV) exams can I give advice and take service charge? Read More »

Will distance MBA or Online MBA or Diploma degree be valid for the SEBI Research Analyst and Investment Adviser License?

Many people ask the same question, will the distance or online education or diploma degree are valid for the SEBI registration or not? First I will discuss the Qualification and certification requirement for the SEBI license: A professional qualification or post-graduate degree or post graduate diploma (minimum two years in duration for Investment Adviser) in

Will distance MBA or Online MBA or Diploma degree be valid for the SEBI Research Analyst and Investment Adviser License? Read More »

Formats for investors complaints data to be disclosed monthly by Investment Adviser (IAs) on their website/mobile application

The Investment Advisers shall disclose the details of investor complaints by 7th of the succeeding month in the revised format as per Annexure –B on a monthly basis. Ex: July month all complaint shall be shown by 7th of August by next months on website and app. Investment Advisers not having websites/mobile applications shall send

Formats for investors complaints data to be disclosed monthly by Investment Adviser (IAs) on their website/mobile application Read More »

Formats for investors complaints data to be disclosed monthly by Research Analyst (RAs) on their website/mobile application

Formats for investors complaints data to be disclosed monthly by RAs on their website/mobile application: Data for the month ending –_ Additionally, in order to enhance transparency in grievance redressal, Research Analyst (RA) shall disclose on their websites/mobile applications, all complaints including SCORES complaints received by them in the format mentioned in AnnexureB on a

Formats for investors complaints data to be disclosed monthly by Research Analyst (RAs) on their website/mobile application Read More »

Investor Charter in respect of Investment Adviser (IA)

In order to facilitate investor awareness about various activities which an investor deals with while availing the services provided by investment advisers, SEBI has developed an Investor Charter for Investment Advisers. This Charter is a brief document containing details of service provided to investors, their rights, dos and don’ts, responsibilities, investor grievance handling mechanism and

Investor Charter in respect of Investment Adviser (IA) Read More »

Investor Charter in respect of Research Analyst (RA)

In order to facilitate investor awareness about various activities which an investor deals with while availing the services provided by research analysts, SEBI has developed an Investor Charter for Research Analysts. This Charter is a brief document containing details of services provided to investors, their rights, dos and don’ts, responsibilities, investor grievance handling mechanism and

Investor Charter in respect of Research Analyst (RA) Read More »

SEBI fit and proper person declaration form for SEBI® Research Analyst and Investment Adviser Registration

The SEBI will ask you for fit and proper person declaration form for SEBI Investment adviser and the Research analyst license. The SEBI need to know that are you fit and proper for the role which will be given to you for Investment adviser or Research analyst. This will ask you about your integrity, honesty,

SEBI fit and proper person declaration form for SEBI® Research Analyst and Investment Adviser Registration Read More »

These persons are Exempted from the SEBI® Investment adviser registration.

The following persons shall not be required to seek registration under regulation 3 subjectto the fulfillment of the conditions stipulated therefor, Any person who gives general comments in good faith in regard to trends in the financial or securities market or the economic situation where such comments do not specify any particular securities or investment

These persons are Exempted from the SEBI® Investment adviser registration. Read More »

Can The SEBI® Investments adviser take commissions or sell regular mutual funds to their Investors?

This is the very common questions asked by any the SEBI registered Investment Adviser or any persons who are willing to take the SEBI licence for starting an advisory or research analyst services. Before going to the Investment adviser commission discussion let me show you the clarification seek from the SEBI side w.r.t the SEBI

Can The SEBI® Investments adviser take commissions or sell regular mutual funds to their Investors? Read More »

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