Registration as investment adviser requires specified disclosures, certification, infrastructure and declarations to ensure regulatory compliance. Prescribes the application process for a certificate of registration as an investment adviser under SEBI rules, requiring identity and address proofs, ... Summary
Registration as investment adviser requires specified disclosures, certification, infrastructure and declarations to ensure regulatory compliance.
Prescribes the application process for a certificate of registration as an investment adviser under SEBI rules, requiring identity and address proofs, entity specific disclosures, compliance with qualification and certification requirements, submission of a business plan, declarations of necessary infrastructure, statements on execution/distribution services and prohibition on third party consideration, plus fit and proper, dispute and disciplinary history disclosures, part time adviser conditions, and an undertaking to notify SEBI of changes and comply with applicable laws and directives.
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