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Framework for administration and supervision of Investment Advisers under the SEBI (Investment Advisers) Regulations, 2013 - SEBI - SEBI/HO/IMD/IMD-I/DOF1/P/CIR/2021/579

Extract

..... visers (“IA”) and delegate administration and supervision of the IAs on such terms and conditions as may be specified. Accordingly, an entity granted recognition under the aforesaid Regulation shall be designated as “Investment Adviser Administration and Supervisory Body” (“IAASB”) and shall be entrusted with the administration and supervision of IAs. 2. In this regard, BSE Administration & Supervision Limited (BASL), a wholly owned subsidiary of BSE Limit .....

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Framework for administration and supervision of Investment Advisers under the SEBI (Investment Advisers) Regulations, 2013 - SEBI

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..... also have, at all times, a Director who will bring investor perspective. 5. SEBI shall continue to concurrently administer and supervise all registered IAs and IAASB shall be subject to periodic inspection by SEBI. 6. Pursuant to grant of aforementioned recognition, SEBI registered IAs are required to ensure compliance with the following: i. Membership of IAASB In order to ensure compliance with Regulation 6(n) of the IA Regulations and to keep their registration in force, existing IAs shall se .....

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Framework for administration and supervision of Investment Advisers under the SEBI (Investment Advisers) Regulations, 2013 - SEBI

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..... ect to membership process, membership fee structure as well as contact details of IAASB, FAQs under the link provided in the Press release issued by SEBI upon recognition of IAASB, may be referred. iii. Reporting All SEBI registered IAs shall submit periodic reports to IAASB in such manner as may be specified by IAASB. 7. 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 the IA Regulat .....

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Framework for administration and supervision of Investment Advisers under the SEBI (Investment Advisers) Regulations, 2013 - SEBI

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