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        SEBI

        Regulation 16A - Restriction in having association with certain persons

        Securities and Exchange Board of India (Intermediaries) Regulations, 2008
        Chapter IIIA
        RESTRICTION IN DEALING WITH OTHER ENTITIES

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        Restriction on association bars regulated persons from associating with unpermitted advisors or claimants and requires platform controls. Regulation 16A bars persons regulated by the Board and their agents from associating, directly or indirectly, with anyone who gives advice or recommendations about securities or makes claims about returns or performance related to securities, unless that person is registered with or permitted by the Board; associations include monetary transactions, client referrals, IT system interactions or similar relationships, and regulated persons must ensure their associates or agents do not engage in such activities without Board permission.
                        Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
                          Provisions expressly mentioned in the judgment/order text.

                              Restriction on association bars regulated persons from associating with unpermitted advisors or claimants and requires platform controls.

                              Regulation 16A bars persons regulated by the Board and their agents from associating, directly or indirectly, with anyone who gives advice or recommendations about securities or makes claims about returns or performance related to securities, unless that person is registered with or permitted by the Board; associations include monetary transactions, client referrals, IT system interactions or similar relationships, and regulated persons must ensure their associates or agents do not engage in such activities without Board permission.


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