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        SEBI

        SEBI regulations effective August 29, 2024, prohibit regulated...

        SEBI Bans Regulated Entities From Partnering With Unregistered Investment Advisors Under Section 11B, Effective August 2024

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                          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.
                                SEBI regulations effective August 29, 2024, prohibit regulated entities and their agents from associating with unregistered persons providing securities advice or making performance claims. Association encompasses monetary transactions, client referrals, IT system interactions, or similar arrangements. Regulated entities must ensure compliance within their association scope and terminate existing non-compliant contracts. Exceptions apply for pure investor education activities without specific security recommendations. Violations may result in penalties, registration suspension/cancellation, or debarment under SEBI Act Section 11B. The regulations apply to all SEBI-registered intermediaries, recognized exchanges, clearing corporations, depositories, and their agents including MFDs, APs, PMS and AIF distributors. Professional services like demat accounts remain permissible if not used for prohibited activities.
                                Note: It is a system-generated summary and is for quick reference only.
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