Page 2 - Registered Investment Advisors
Why's India short on registered investment advisors?
India has just about 1,324 registered investment advisors for an investor base of over five crore. What is the reason for this? Is it SEBI's rules or investors' reluctance to pay for advice?
 "Why's India short on registered investment advisors?")
TMS Ep64: Investment advisors, Puneet Nanda, US Fed, RT-PCR & RAT
Why's India short on investment advisors? What is the investment strategy of ICICI Venture's Puneet Nanda? Will US Fed increase pace of tapering? What is RT-PCR & Rapid Antigen Test? All answers here
 "TMS Ep64: Investment advisors, Puneet Nanda, US Fed, RT-PCR & RAT")
Choosing the right financial planner is a wise investment, say experts
Discussing scope of work will enable the registered investment advisor to decide the right fee
 "Choosing the right financial planner is a wise investment, say experts")
Lower fees structure for investment advisors to kick in from April 1: Sebi
This applies to filing application and registration for individuals and corporates seeking a registered investment advisor status
 "Lower fees structure for investment advisors to kick in from April 1: Sebi")
Sebi releases guidelines for investment advisors on client segregation
Sebi has also fixed a cap on fee that investment advisers (IA) can charge from clients. It has also put in place a procedural framework pertaining to audit and record-keeping
Investment advisers to ensure client-level division of distribution: Sebi
These amendments will come into force from September 30
 "Investment advisers to ensure client-level division of distribution: Sebi")
Under new RIA norms, all your financial needs won't be under one roof
High net worth will ensure only serious people will be in the business of advising clients
 "Under new RIA norms, all your financial needs won't be under one roof")
Sebi notifies new regulations for registered investment advisers
The new norms would require mandatory segregation of advisory and distribution activities at client-level to avoid conflict of interest.
 "Sebi notifies new regulations for registered investment advisers")
You're an investment advisor or want to become one? The bar just got raised
Complying with the new norms will take a lot of effort and readjustment by existing advisors
 "You're an investment advisor or want to become one? The bar just got raised")
Sebi bars 15 entities from offering investment advisory services
The entities which have been barred include Investmart, Profit Redefine Financial Solution, Analog Research, Money Booster, Billionaire Solutions, Capital Exchange India among others
 "Sebi bars 15 entities from offering investment advisory services")
Investment advisers to have net worth of $1.5 mn for operating in IFSC
An applicant needs to have a net worth of not less than USD 1.5 million (about Rs 10.5 crore)
 "Investment advisers to have net worth of $1.5 mn for operating in IFSC")
No advice sans risk-profile of the client, Sebi to investment advisers
Regulator bans free trials, says no to cash deposits as fees
 "No advice sans risk-profile of the client, Sebi to investment advisers")
Investment advisors under Sebi lens over complaints of overcharging
Sebi pulled up Highbrow Market Research for giving multiple intra-day trading tips to clients, despite their risk profile being averse to such positions
 "Investment advisors under Sebi lens over complaints of overcharging")
