To ease your burden, we have come up with a detailed analysis of the amendments to IA regulation by SEBI (Investment Advisers) (Amendment) Regulations, 2020, so that in spite of googling for the same, you may get all your answers at once. These amendments would be applicable from October 01, 2020. Following are the key […]...

Following is the composition of board of directors:- According  to Section 149 of The Companies Act 2013, 1. Every company should have minimum 3 directors in PUBLIC company 2 directors in PRIVATE company 1 director in ONE PERSON company Maximum no of directors can be 15 in any company. However company by passing special resolution [&hell...

The current global crisis and its resulting uncertainty have shaken the strongest of economies and organisations. However, these times also create a host of opportunities, the delisting of stocks being one of them. Need for delisting Given the sharp fall in capital markets, promoters are evaluating the delisting of securities to run their...

In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory regime would turn out for them in an already challenging and competitive environment. The so [&h...

SEBI has made changes in existing Investment Adviser regulation via amendment dated July 03, 2020. SEBI (Investment Advisers) (Amendment) Regulations, 2020 Some key changes are highlighted as below: 1. Distributors shall not use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless ...

There is long standing dilemma among the Investment Advisers fraternity as to which fee model should an investment Adviser adopt. It is quite obvious that advisers having different business models require different type of fee model. So ‘One Size Fits All’ approach cannot be adopted for all advisory business practice. Advisers are hav...

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 t...

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 ...

A. Notification of Amendments to SEBI (Investment Advisers), Regulation, 2013 Introduced by: SEBI Press Release PR No. 37/2020, Dated 03.07.2020 What are the announcements in press release regarding notifications of Amendments to SEBI (Investment Advisers) Regulation 2013 Purpose of the Amendment To strengthen the regulatory framework for...

Article covers the compliance’s which are required to be complied by the listed entities on quarterly, half yearly and on annual basis within the prescribed due dates as given under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015. Sr.no. Reg. no. Particular Due date   QUARTERLY COMPLIANCE   1 13(3) Statem...