TaxTMI 
TaxTMI 
Investment advisers
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....ns on which it offers advisory services, affiliations with other intermediaries and such other information so as to enable the client to take an informed decision on whether or not to avail its advisory services. (2) An investment adviser shall make the following disclosures to its clients: - (a) its holding or position, if any, in the financial products or securities which are subject matter o....
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....ich advice is provided. (5) An investment adviser shall maintain an arm's-length relationship between its activities as an investment adviser and its other activities. (6) An investment adviser shall not enter into transactions on its own account which is contrary to the advice given to its clients for a period of 15 days from the day of such advice: Provided that during the period of 15 d....
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.... assessment; and (d) the information provided by clients and their risk assessment is updated periodically. (9) An investment adviser shall ensure that all investments on which investment advice is provided is suitable to the risk profile of the client and is consistent with the client's investment objectives and financial position. (10) An investment adviser shall have client level segregatio....