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BASL – Compliance Reporting by Investment Advisers for FY ended 2021-2022

Notice No. : 20220915-01

Notice Dated : 15/09/2022

Sub.   :  BASL – Compliance Reporting by Investment Advisers for FY ended 2021-2022  . 

Attention of all Investment Advisers (IAs) is drawn to BASL circular nos. 20220519-01 and 2022051902 dated 19/05/2022 respectively in respect to below mentioned compliance requirements :

Sr. No.

Compliance Type

BASL / SEBI circular dated

01.

Submission of annual compliance audit report by Investment Advisers for FY ended 2021-2022.

BASL circular dated 19/05/2022

02.

BASL – Cyber    Security Awareness Campaign Compliance Reporting.

All BASL enrolled member IAs are hereby informed that the stipulated time period for submission of aforesaid compliance report to BASL is September 30, 2022. Accordingly, all BASL enrolled member IAs are advised to submit their aforesaid compliance requirements within the stipulated time period. 

The reporting of aforesaid compliance reporting need to be done to BASL to the email ids as mentioned below 

Compliance Type

Subject of mail to BASL*

BASL email id

Annual compliance audit 

Annual compliance audit reporting for FY ended ____ – _____– BASL IA Member Name __________ BASL Member ID :

___________ .

[email protected]

Cyber Security Awareness Campaign Compliance 

Cyber      Security       Awareness

Compliance Reporting – BASL IA Member Name __________ BASL Member ID :

___________.

[email protected]

*Members are advised to ensure proper mentioning of the subject.

In case of any queries BASL IA members may reach out vide email to above mentioned email ids. 

For and on behalf of BASL 

Manjiri Nimkar 

Associate Manager.