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Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers

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....for seeking prior approval for change in control of SEBI registered Portfolio Managers 1. Regulation 11 of the SEBI (Portfolio Managers) Regulations, 2020 prescribes the conditions of registration as a Portfolio Manager. Vide SEBI (Portfolio Managers) (Second Amendment) Regulations, 2021 notified on April 26, 2021, a Sub-regulation (aa) has been inserted in the aforesaid Regulation 11. The link f....

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....pursuant to change in control shall be made to SEBI within six months from the date of prior approval. d. Pursuant to grant of prior approval by SEBI, all the existing investors/ clients shall be informed about the proposed change prior to effecting the same, in order to enable them to take well informed decision regarding their continuance or otherwise with the changed management. 3. This circ....

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