Investment Advisor

The move, SEBI said, is part of its broader effort to balance investor protection with operational ease for intermediaries, while ensuring transparency and credibility in the advisory and research ecosystem.

Sebi extends digital accessibility compliance timelines for investment advisors and research analysts

Regulatior's move is aimed at providing additional time to these entities to adapt their systems and processes, given the operational challenges raised by industry participants.

Oops! Investment Advisor emails evidence of misconduct to SEBI, implicates self

The market regulator has fined the IA Rs 8 lakh for various violations including promising guaranteed returns and selling the same product to the same client over the same period

SEBI issues guidelines for part-time RA and IA; and for dual registration as an IA and RA

The January 8 circulars have come after the amendments made to the RA Regulations and IA Regulations on December 16, 2024.

SEBI calls out Investment Advisor on its "cock and bull story", issues fine of Rs 19 lakh

The IA named Sai Proficient Research Investment Advisory tried to claim that the violations were done by another unregistered entity named Shree Sai Proficient Financial Services (SSPFS) and that the investor-clients' complaints were fake and fabricated

SEBI finally announces the setting up of performance validation agency called PaRRVA

The regulator met with its Board on December 18

IA collected fee "almost equal" to client's annual income, 4x another client's investable amount; fined Rs 40 lakh

Sebi has imposed a high penalty on an IA for various violations, for failing in its fiduciary duty to clients and for defrauding investors

Investment advisor's arrangement with Smallcase faces regulatory heat; fintech denies any wrongdoing

According to a notice issued by SEBI, the regulator found various violations by the IA, including forcing clients to use services of broker partners and outsourcing core compliance functions, which the IA claimed were part of its vendor arrangement with Smallcase.

Twice unlucky: Investors file complaint on SCORES, get defrauded based on info in plaint

Sebi unearths an audacious fraud perpetrated by a former employee of an investment advisor, which involved impersonating the capital market regulator itself

Sebi proposes sweeping relaxations to regulations for investment advisors, research analysts

The market regulator issued a consultation paper on August 6

SEBI moots summary proceedings for speedier disposal of intermediary-led violations

In this regard, the Securities and Exchange Board of India (Sebi) has floated a consultation paper to invite public comments till August 6 on proposed amendments to the Intermediaries Rules, 2008.

Sebi recognises BSE as supervisory body for Research Analysts, Investment Advisors

BSE Ltd will hold the position for five years from July 25, 2024

Sebi pulls up two unregistered advisories in Vadodara and Udaipur, asks them to stop illegal activity immediately

The western regional office of Securities and Exchange Board of India have issued two letters to Navin Sarwar of Udaipur, Rajasthan, and Pradipkumar Dhobi of Vadodara, Gujarat

IA restrained from practising for 6 months for violations including not customising to clients' needs

Suitability assessment ensures that investment advice is tailored to each client’s specific circumstances and promotes transparency and trust in the financial advisory process, said the regulator's order dated May 29

Investment Advisors must now declare social media presence in a new reporting format

The advisors will need to report details of social media presence every six months to the supervisory body IAASB, recognised by the market regulator Sebi.

Investment advisor fined Rs 4 lakh for charging clients excessively, keeping poor KYC records

Manu Chhabra had collected a total fee of over Rs 36.79 lakh from 157 clients. Out of this, around Rs 12.06 lakh were collected from the 50 clients whose PAN details were submitted.

Investment advisor charges clients more than their annual income; licence suspended for 3 years

In one instance, an employee of the advisor even encouraged a customer to take a loan to pay the service fee

Illegal advisory plays 'greater-cause', 'investor-education' card; Sebi says 'immaterial', orders refund

Profit Your Trade, a proprietorial firm of Patibandla Venkata Vasanta Kumar, said that it conducted workshops without government support

SEBI’s FAQs on investment advisors offer more clarity, but the bigger challenge remains

A bold regulatory overhaul is required to ensure that the vital service of investment advisors is seen as a worthwhile profession

Stock tips sans recorded rationale on Whatsapp, Telegram: Sebi fines RA Manish Goel Rs 60 lakh

Manish Goel was found in violation of various sections under the Sebi Act

Oops! Investment Advisory tries to sell assured-return service to SEBI official, fined Rs 12 lakh

The advisory was found in violation of various regulations including PFUTP Regulations and the IA Regulations

Samir Arora sends up finfluencers’ disclaimers on stock-tips: “What’s left… management’s janam patri?”

People who are not registered with Sebi usually add disclaimers with stock recommendations

Unregistered advisory collects over Rs 1.29 cr in fee and vanishes

The market regulator has passed an ex-parte order, asking it to refund the fee and fining it an additional Rs 2 lakh

Investment advisor fined for allowing husband to run her firm; couple collected Rs 1.92 cr in fee

Sebi investigations also showed that RIA had provided wrong information and fake certificates in her registration application

Over Rs 12-crore earnings from unregistered advisory services impounded, three entities banned

Sebi has passed an interim order and the investigators have said that “educational purpose” does not exonerate such entities