IA Circular – LexiBox

Circulars - Investment Advisor

Updates for Implementation of Section 51A of UAPA, 1967: Updates to UNSC’s 1267/ 1989 ISIL (Da’esh) & Al-Qaida Sanctions List: Amendment in 5 entries

November 15, 2023

November 15, 2023 ...

Amendment to the Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the PMLA, 2002 and Rules framed there under

October 19, 2023

Notice Dated : 19/10/2023 Sub. : Amendment to the...

Master Circular on Know Your Client (KYC) norms for the securities Market.

October 16, 2023

Notice Dated : 16/10/2023 Sub. : Master Circular on...

Amendment to the Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the Prevention of Money-laundering Act, 2002 and Rules framed there under

October 13, 2023

SEBI/HO/MIRSD/SEC-FATF/P/CIR/2023/0170

Master Circular on Know Your Client (KYC) norms for the securities market

October 12, 2023

SEBI/HO/MIRSD/SECFATF/P/CIR/2023/169

Extension in timeline for compliance with qualification and experience requirements under Regulation 7(1) of SEBI (Investment Advisers) Regulations, 2013.

October 12, 2023

20231012-2

Extension in timeline for compliance with qualification and experience requirements under Regulation 7(1) of SEBI (Investment Advisers) Regulations, 2013

October 10, 2023

SEBI/HO/MIRSD/MIRSD-PoD-2/P/CIR/2023/168

Requirement of Base Minimum Capital Deposit for Category 2 Execution Only Platforms

October 6, 2023

SEBI/HO/MRD/POD-III/CIR/2023/165

Centralised mechanism for reporting the demise of an investor through KRAs.

October 5, 2023

Notice Dated : 05/10/2023 Sub. : Centralised mechanism for...

AMFI Guidelines for Category-1 EOPs

October 3, 2023

SEBI/HO/IMD/IMD-PoD-1/P/CIR/2023/86 |