https://www.taxtmi.com/acts?id=34275 Investment advisers must maintain client and advisory records: Know Your Client records, risk profiling and assessment, suitability assessments, client agreements with Board-specified terms, written or oral investment advice, signed and dated rationale, a client register (including PAN), advice dates, product details and fees, and communication records. Records may be physical or electronic and must be preserved for a minimum period; electronically maintained signed records must be digitally signed. Advisers must arrange an annual compliance audit by a member of specified professional institutes and submit the audit report as required by the Board. en-us Mon, 31 Dec 2018 11:07:38 +0530 Tue, 17 Dec 2024 15:11:23 +0530 TaxTMI RSS Generator https://www.taxtmi.com/acts?id=34275 Investment advisers must maintain client and advisory records: Know Your Client records, risk profiling and assessment, suitability assessments, client agreements with Board-specified terms, written or oral investment advice, signed and dated rationale, a client register (including PAN), advice dates, product details and fees, and communication records. Records may be physical or electronic and must be preserved for a minimum period; electronically maintained signed records must be digitally signed. Advisers must arrange an annual compliance audit by a member of specified professional institutes and submit the audit report as required by the Board. Act-Rules SEBI Mon, 31 Dec 2018 11:07:38 +0530 https://www.taxtmi.com/acts?id=34275