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Ali Asgar Tambawala

Latest Posts by Ali Asgar Tambawala

BSAL to administer & supervise activities of SEBI Registered Investment Advisors

June 13, 2021 1914 Views 0 comment Print

Bombay Stock Exchange (BSE) vide its Media Release on 11th June, 2021 said that it has set up a wholly owned subsidiary company’BSE Administration & Supervision Ltd. (BASL) for carrying out the administration and supervision activities of all SEBI-registered investment advisors (RIA). It has also created its website: https://www.bseasl.com/ria/index.html, wherein all the data/information related to […]

Compliance Audit for SEBI Registered Investment Advisers

June 5, 2021 11220 Views 2 comments Print

Securities and Exchange Board of India (SEBI) in its recent Circular for Investment Advisers dated 23rd September, 2020 titled “Guidelines for Investment Advisers” stated that, as per Regulation 19 (3) of the amended Investment Adviser Regulations, Investment Advisers shall ensure that Annual Audit in respect of compliance of SEBI (Investment Advisers) Regulations, 2013 and circulars […]

AMFI Guidance on MFD Nomenclature

October 21, 2020 12096 Views 0 comment Print

After the notification of the SEBI Investment Adviser (Amendment) Regulations, 2020 on 3rd July, 2020, the Association of Mutual Funds in India (“AMFI”) has issued guidance regarding nomenclature to be used by Registered Mutual Fund Distributor. As per the said Regulations, no distributor shall use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser […]

Summary of SEBI Circular titled ‘Guidelines for Investment Advisers’

September 25, 2020 4110 Views 1 comment Print

So, finally a long wait is over as SEBI has come out with the Circular just a Week before the applicability of the new regulations. A Circular was expected from SEBI since the notification of new IA Regulations on 3rd July, 2020 to provide clarifications on certain points. Hence, SEBI has issued the Circular No. […]

FAQs on Compliance Audit by SEBI Registered Research Analysts

July 5, 2020 7932 Views 2 comments Print

Frequently asked questions on Compliance Audit We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Research Analysts. Based on that we have attempted to capture some of the common questions. 1. What is Compliance Audit? Basically Compliance Audit is checking of the compliances followed by the Research Analysts as stated […]

Impact & Analysis of SEBI (Investment Advisers) (Amendment) Regulations, 2020

July 5, 2020 4428 Views 6 comments Print

Impact and Analysis of the SEBI (Investment Advisers) (Amendment) Regulations, 2020 Earlier this year SEBI has issued the Consultation Paper on 16th January, 2020 seeking public comments on the proposed changes. Post this, in February, 2020 SEBI in its Board Meeting approved certain changes to it. Now on 3rd July, 2020 SEBI has notified amendments to […]

Risk Profiling by Investment Advisers

June 16, 2020 4470 Views 0 comment Print

Many people associated with the market have queries or are unaware regarding Risk Profiling including certain Investment Advisers. The Regulations for Investment Advisers clearly states that an Investment Adviser has to ensure that it carries out Risk Profiling of the investors in a systematic manner. Further, a few months ago, SEBI came out with the […]

FAQs on Compliance Audit for Investment Advisers

April 30, 2020 9033 Views 5 comments Print

We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Investment Adviser. Based on that we have attempted to capture some of the common questions. Q 1. What is Compliance Audit? Ans: Basically Compliance Audit is checking of the compliances followed by the Investment Advisers as stated under SEBI (Investment Advisers) […]

SEBI Measures to strengthen conduct of Investment Advisers (IA)

December 27, 2019 3015 Views 0 comment Print

Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 (IA Regulations) provides for code of conduct to be followed by IAs. In order to further strengthen the conduct of IAs, while providing investment advice and to protect the interest of investors seeking their advice, the IAs shall comply with the following:

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