https://www.taxtmi.com/article/detailed?id=2038 SEBI's Investment Advisers Regulations, 2013 define investment advice and investment adviser, require registration for persons giving advice for consideration, and set out exemptions. Entry conditions include prescribed qualifications, mandatory certification (NISM or accredited equivalent), minimum net worth/capital for corporate and individual advisers, specified application procedures and fees, and five year registration validity. Registered advisers must observe fiduciary duties, disclose conflicts and remuneration, perform KYC, risk profiling and suitability assessments, maintain comprehensive records with periodic audits, provide grievance redressal, appoint compliance officers where applicable, and submit to SEBI inspection and enforcement powers. en-us Sat, 23 Feb 2013 07:03:25 +0530 Sat, 23 Feb 2013 07:03:25 +0530 TaxTMI RSS Generator https://www.taxtmi.com/article/detailed?id=2038 SEBI's Investment Advisers Regulations, 2013 define investment advice and investment adviser, require registration for persons giving advice for consideration, and set out exemptions. Entry conditions include prescribed qualifications, mandatory certification (NISM or accredited equivalent), minimum net worth/capital for corporate and individual advisers, specified application procedures and fees, and five year registration validity. Registered advisers must observe fiduciary duties, disclose conflicts and remuneration, perform KYC, risk profiling and suitability assessments, maintain comprehensive records with periodic audits, provide grievance redressal, appoint compliance officers where applicable, and submit to SEBI inspection and enforcement powers. Articles Corporate Laws / IBC / SEBI Sat, 23 Feb 2013 07:03:25 +0530 https://www.taxtmi.com/article/detailed?id=2038