Mumbai: The Securities and Exchange Board of India’s latest prescription on how investment advisors and research analysts should do business may hit some outside its target area. Various independent equity research firms providing stock investment ideas to investors are shutting shop or are in the process of closing as they find the new rules onerous … Read more
SEBI has introduced new guidelines to make the Registered Investment Advisor (RIA) framework more accessible and practical. Now, a graduate degree in any discipline, along with relevant NISM certification, is sufficient to qualify as an investment advisor. Previously, obtaining an RIA license was challenging, requiring an MBA in finance or a postgraduate degree and five … Read more
The Securities and Exchange Board of India (Sebi) has proposed to relax registration requirements and cost of compliance for Investment Advisors (IAs) and Research Analysts (RAs) by amending/clarifying the existing regulations. On Tuesday, the market regulator issued a consultation paper, seeking comments from the public to put in place what it said would be a … Read more
SEBI, the regulatory authority in India, is stepping up its oversight of small-cap funds. They’re now seeking information from individual asset management companies (AMCs) regarding the sale of these funds to super senior citizens. This move aims to ensure greater protection for elderly investors. The news was initially covered by Mint. Investment advisors suggest that … Read more