1. How are investment advisers regulated in India? The SEBI (Investment Advisers) Regulations, 2013 (“IA Regulations”) have been notified on January 21, 2013. The IA Regulations came into effect from April 21, 2013. The regulations specify conditions for registration, certification, […]
Preface 1. In order to keep pace with the evolving market dynamics, SEBI (Prohibition of Insider Trading) Regulations, 2015 have been amended from time to time. With an objective to provide greater clarity on several concepts related to the SEBI […]
1. Which intermediaries are referred to as MIRSD Intermediary (Direct)? MIRSD deals with registration of the following intermediaries a. Stock Brokers b. Depository Participants c. Merchant Bankers d. Registrar to an Issue and Share Transfer Agents e. Credit Rating Agency […]
1. What is the procedure for registration? A first time applicant for MIRSD Direct Intermediary registration needs to pay the application fees through the Self-Registration tab in the SEBI Intermediary Portal (SI Portal). Kindly read the Self-Registration – FAQs for […]
1. I am an MIRSD Intermediary (Direct). I am undergoing a change of shareholding. Do I need to take prior approval from SEBI? An MIRSD Intermediary (Direct) needs to first determine if the change in shareholding is resulting into change […]
