Investment Advisor Regulations : A Concept Paper

29 September 2011

SEBI has released a consultative paper on the “Regulation of Investment Advisors” for public comments by 31st October 2011. Section 11(2)(b) of SEBI Act empowers SEBI to register and regulate working of Investment Advisors and such other intermediaries who may be associated with securities market in any other manner.

In this document India Juris has summarized the main features of the proposed regulations which intend to regulate the Investment Advisors.

Enlarge View & Download

News & Deals

Applications invited from LegalTech & IP Tech Start-ups / Founders for Embark

Investment Advisor Regulations : A Concept Paper

Investment Advisor Regulations : A Concept Paper

News & Deals

Applications invited from LegalTech & IP Tech Start-ups / Founders for Embark

IJ advised on Beyond Renewables’ pre-seed funding round

IJ advised Investor in Reia pre-seed funding

Publications

Bridging Jurisdictions: Cross-Border Insolvency in The Gift City Paradigm

Reframing Liquidation Under IBC: Transitioning From Sale as a Going Concern to Asset-Based Realisation

AML Issues & Compliances By Entities In GIFT City

Newsletters

IFSCA Consultation Paper & Draft Master Circular for Broker Dealers and Clearing Members

SEBI INFORMAL GUIDANCE SCHEME 2025: STREAMLINED REGULATORY CLARITY

Recent Competition Law Updates