IA · SEBI (IA) Regulations
Investment Advisers
From registration to the annual compliance audit, we help Investment Advisers build practices that are suitable, transparent and well documented.
Scope of engagement
- Registration readiness and application support
- Investment advisory agreement and fee structure review
- Risk profiling and suitability process documentation
- Annual compliance audit
- Segregation of advisory and distribution activities
- Ongoing regulatory updates and reporting
