Investment Advisor Regulations : A Concept Paper

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.