https://www.taxtmi.com/article/detailed?id=11720 Registration requires applicants providing personalised advice on securities or investment products to obtain a certificate from the Board under specified forms, fees, qualifications, experience and net worth thresholds, with defined exemptions. Registered advisers must act in a fiduciary capacity, avoid and disclose conflicts of interest, segregate advisory activities, not accept third party remuneration for advised products, follow Know Your Client procedures, maintain prescribed records for a minimum period, appoint a compliance officer where required, and submit annual compliance audits. The regulator may inspect, require information, and issue directions including suspension or market prohibitions for breaches. en-us Fri, 11 Aug 2023 09:59:28 +0530 Fri, 11 Aug 2023 09:59:28 +0530 TaxTMI RSS Generator https://www.taxtmi.com/article/detailed?id=11720 Registration requires applicants providing personalised advice on securities or investment products to obtain a certificate from the Board under specified forms, fees, qualifications, experience and net worth thresholds, with defined exemptions. Registered advisers must act in a fiduciary capacity, avoid and disclose conflicts of interest, segregate advisory activities, not accept third party remuneration for advised products, follow Know Your Client procedures, maintain prescribed records for a minimum period, appoint a compliance officer where required, and submit annual compliance audits. The regulator may inspect, require information, and issue directions including suspension or market prohibitions for breaches. Articles Corporate Laws / IBC / SEBI Fri, 11 Aug 2023 09:59:28 +0530 https://www.taxtmi.com/article/detailed?id=11720