Dealing in unregulated products
PR No.30/2021 Dealing in unregulated products by SEBI registered Investment Advisers It has come to the notice of SEBI that […]
Legal Clarity
Sorting through the legalese
Discontinuation of usage of pool accounts for transactions in units of Mutual Funds on the Stock Exchange Platforms
SEBI/HO/IMD/-1 DOF5/CIR/2021/635
‘Guidelines for Investment Advisers’ – Extension of timelines
SEBI/HO/IMD/IMD-I/DOF/P/CIR/2021/632 dated September 30, 2021 “Guidelines for Investment Advisers” issued vide Circular No. SEBI/HO/IMD/DF1/CIR/P/2020/182 dated September 23, 2020 (hereinafter referred […]
Informal Guidance – Vansh Capital
Queries – (a) Can a non individual Investment Adviser becoming Authorized Person (AP) of a Trading Member give Investment Advisory […]
Circular 2021/564
Procedure for seeking prior approval for change in control of SEBI registered Portfolio Managers (1.) Regulation 11 of the SEBI […]
Informal Guidance – Jade Capital
Queries Query – Can an Investment Advisor continue to collect performance – based fee whenever the same is due in […]
Informal Guidance – Paytm
Queries raised by Paytm Query # 1 – As per Reg. 22A of the SEBI (Investment Advisors) Regulations, 2013 (“IA […]
Informal Guidance – Waterfield Advisors
Query – (i) Whether Waterfield Financial & Investment Advisors Pvt. Ltd. (WFPL) clients can, at their own volition grant a […]