Tax Management India. Com
                        Law and Practice: A Digital eBook ...
TMI - Tax Management India. Com
Case Laws Acts Notifications Circulars Classification Forms SMS News Articles
Highlights
D. Forum
What's New

Share:      

        Home        
 
Home Circulars 2020 SEBI SEBI - 2020 This
← Previous Next →
  • Login

 

User Login
Username  
Password  
Stay sign in     

Forget password       New User/ Regiser



 

Administration and Supervision of Investment Advisers - SEBI - SEBI/HO/IMD/DF1/CIR/P/2020/148

Extract

..... 2013 (hereinafter referred to as “IA Regulations”), SEBI can recognize any body/body corporate for the purpose of regulating IAs. It further provides that SEBI may, at the time of recognition of such body or body corporate, delegate administration and supervision of IAs to such body or body corporate on such terms and conditions as may be specified. 3. Further, the second proviso to Regulation 38 (2) of the Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations .....

X X   X X   Extracts   X X   X X

Login / Subscribe to Access Full Page

Administration and Supervision of Investment Advisers - SEBI

X X   X X   Extracts   X X   X X

..... evance redressal mechanism including Arbitration v. Capacity for investor service management gauged through reach of Investor Service Centers (ISCs)- Stock exchanges having ISCs in at least 20 cities B. Setting up of requisite systems by stock exchanges for the purpose- i. The stock exchange shall either form a subsidiary or designate an existing subsidiary for the purpose of regulating IAs. ii. The subsidiary shall include in its MoA, AoA and bye-laws, requisite provisions to fulfil the below m .....

X X   X X   Extracts   X X   X X

Login / Subscribe to Access Full Page

Administration and Supervision of Investment Advisers - SEBI

X X   X X   Extracts   X X   X X

..... y submit the detailed proposal incorporating requisite systems stated at para 4 (B) and mechanism to discharge responsibilities, to SEBI within 30 days from the date of this circular. 6. This circular is issued in exercise of powers conferred under Section 11(1) of the Securities and Exchange Board of India Act, 1992 read with Regulation 14(2) of IA Regulations to protect the interests of investors in securities and to promote the development of, and to regulate the securities market. 7. The cir .....

X X   X X   Extracts   X X   X X

Login / Subscribe to Access Full Page

Administration and Supervision of Investment Advisers - SEBI

X X   X X   Extracts   X X   X X

 

← Previous Next →

 

 

 

|| Home || About us || Feedback || Contact us || Disclaimer || Terms of Use || Privacy Policy || Database || Members || Refer Us ||

© Taxmanagementindia.com [A unit of MS Knowledge Processing Pvt. Ltd.] All rights reserved.
|| Site Map - Recent || Site Map || ||