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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Investment Advisers) Regulations 2013 Chapters List This

Securities and Exchange Board of India (Investment Advisers) Regulations 2013

Chapter: I
PRELIMINARY
Regulation 1 : Short title and commencement
Regulation 2 : Definitions.
Chapter: II
REGISTRATION OF INVESTMENT ADVISERS
Regulation 3 : Application for grant of certificate
Regulation 4 : Exemption from registration
Regulation 5 : Furnishing of further information, clarification and personal representation
Regulation 6 : Consideration of application and eligibility criteria
Regulation 7 : Qualification and certification requirement
Regulation 8 : Networth
Regulation 9 : Grant of certificate of registration
Regulation 10 : Period of validity of certificate
Regulation 11 : Renewal of certificate
Regulation 12 : Procedure where registration is refused
Regulation 13 : Conditions of certificate.
Regulation 14 : Recognition of body or body corporate for regulation of investment advisers
Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 15 : General responsibility
Regulation 15A : Fees
Regulation 16 : Risk profiling
Regulation 17 : Suitability
Regulation 18 : Disclosures to clients
Regulation 19 : Maintenance of records
Regulation 20 : Appointment of compliance officer
Regulation 21 : Redressal of client grievances
Regulation 22 : Client level segregation of advisory and distribution activities.
Regulation 22A : Implementation of advice or execution
Chapter: IV
INSPECTION
Regulation 23 : Board’s right to inspect
Regulation 24 : Notice before inspection.
Regulation 25 : Obligation of investment adviser on inspection
Regulation 26 : Submission of report to the Board
Regulation 27 : Action on the inspection report
Chapter: V
PROCEDURE FOR ACTION IN CASE OF DEFAULT
Regulation 28 : Liability for action in case of default.
Chapter: V-A
POWER TO RELAX STRICT ENFORCEMENT OF THE REGULATIONS
Regulation 28A : Exemption from enforcement of the regulations in special cases
Chapter: VI
MISCELLANEOUS
Regulation 29 : Power of the Board to issue clarifications etc.
Regulation 30 : Power of the Board over body or body corporate recognized under regulation 14.
SCHEDULE
SCHEDULE - 01 : Application for Grant of Certificate of Registration
SCHEDULE - 02 : FEES
SCHEDULE - 03 : CODE OF CONDUCT FOR INVESTMENT ADVISER
 
 
 

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