Overview of Investment Advisor Registration

1
Investment Advisor Registration SEBI
2
Who Are Investment Advisors?
An investment advisor, as per the Investment
Advisors Act of 1940, means any person or group
who in return for fees, makes investment
recommendations or conducts securities analysis,
whether through direct management of client
assets or via written publications. They are
experiencing a level of discretionary authority,
which allows them to act on the behalf of their
clients without obtaining any formal permission
prior to the execution of an action.
3
Responsibilities of SEBI Registered Investment
Advisors

• They should act in a fiduciary capacity and in
  the interest of its clients
• They bear the responsibility of not divulging any
  confidential information
• They should abide by Code of Conduct as specified
• They should conduct risks profiling and risk
  assessment of the investor
• It is their duty to ensure that investments
  should be suitable and appropriate to the risk
  profile of their client

4
Procedure for getting SEBI Registered Investment
Advisor
A professional qualification or post-graduate
degree or postgraduate diploma in finance,
accountancy, business management, commerce,
economics, capital market, banking, insurance or
an institution recognized by the central
government or any state government or a
recognized foreign university or institution or
association
5
POST REGISTRATION COMPLIANCES

• Must comply with the reporting requirements as
  specified by SEBI from time to time.
• They must have to regularly visit the SEBI
  website for any updation/ circulars/ guidelines
  issued time to time with respect to their market.
• They must intimate to SEBI any material change in
  the details which has been already furnished to
  SEBI within a reasonable period of time.

6
Investment Advisor basically provide advice
relating to investing in, purchasing, selling or
otherwise dealing in securities or investment
products, and advice on investment portfolio
containing securities (See Section 2(h) of
Securities Contracts Regulation Act 1956 to
understand what all instruments are covered under
the word Securities) or investment products. This
advice can be given in written, oral or through
any other means of communication.
7
CONTACT US
9870310368
info_at_enterslice.com
H 55 Sector 63 Noida U.P. 201301Uttar Pradesh