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Investment Advisor

SEBI allows interim disclosure of certified past performance by Investment Advisers and Research Analysts
Sebi extends digital accessibility compliance timelines for investment advisors and research analysts
Oops! Investment Advisor emails evidence of misconduct to SEBI, implicates self
SEBI issues guidelines for part-time RA and IA; and for dual registration as an IA and RA
SEBI calls out Investment Advisor on its "cock and bull story", issues fine of Rs 19 lakh
SEBI finally announces the setting up of performance validation agency called PaRRVA
IA collected fee "almost equal" to client's annual income, 4x another client's investable amount; fined Rs 40 lakh
Investment advisor's arrangement with Smallcase faces regulatory heat; fintech denies any wrongdoing
Twice unlucky: Investors file complaint on SCORES, get defrauded based on info in plaint
Sebi proposes sweeping relaxations to regulations for investment advisors, research analysts
SEBI moots summary proceedings for speedier disposal of intermediary-led violations
Sebi recognises BSE as supervisory body for Research Analysts, Investment Advisors
Sebi pulls up two unregistered advisories in Vadodara and Udaipur, asks them to stop illegal activity immediately
IA restrained from practising for 6 months for violations including not customising to clients' needs
Investment Advisors must now declare social media presence in a new reporting format
Investment advisor fined Rs 4 lakh for charging clients excessively, keeping poor KYC records
Investment advisor charges clients more than their annual income; licence suspended for 3 years
Illegal advisory plays 'greater-cause', 'investor-education' card; Sebi says 'immaterial', orders refund
SEBI’s FAQs on investment advisors offer more clarity, but the bigger challenge remains
Stock tips sans recorded rationale on Whatsapp, Telegram: Sebi fines RA Manish Goel Rs 60 lakh
Oops! Investment Advisory tries to sell assured-return service to SEBI official, fined Rs 12 lakh
Samir Arora sends up finfluencers’ disclaimers on stock-tips: “What’s left… management’s janam patri?”
Unregistered advisory collects over Rs 1.29 cr in fee and vanishes
Investment advisor fined for allowing husband to run her firm; couple collected Rs 1.92 cr in fee
Over Rs 12-crore earnings from unregistered advisory services impounded, three entities banned

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Investment Advisor

SEBI allows interim disclosure of certified past performance by Investment Advisers and Research Analysts

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Unregistered advisory collects over Rs 1.29 cr in fee and vanishes

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

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