Finally, the wait is over. SEBI has come out with detailed guidelines for Investment Advisers on September 23, 2020. Although the guidelines are more or less on the expected lines as most of the terms were already published in 4th consultation paper, SEBI has, vide this guidelines, provided detailed modus operandi as to client level […]
Tag: SEBI
As you all are aware that SEBI has come out with amendment in IA regulation through notification dated July 03, 2020 which require great amount of shift in existing IA business practice. The new IA amendment regulation talks about enhanced qualification and Net worth criteria, mandatory agreement, segregation of business at client level, compliance Audit […]
There is long standing dilemma among the Investment Advisers fraternity as to which fee model should an investment Adviser adopt. It is quite obvious that advisers having different business models require different type of fee model. So ‘One Size Fits All’ approach cannot be adopted for all advisory business practice. Advisers are having inherent conflict […]
SEBI recently have issued 4th consultation paper on Investment Adviser regulation.key excerpts of the same are as follows: Client level segregation of advisory and distribution services. IA shall provide implementation services to its advisory clients only through direct schemes/direct code in the securities market. Fees can be charged either AUA based or fixed fees. In […]
CS Harshit Shah 