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Individual vs Non-Individual Investment Adviser: When Does the Structure Need to Change?
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
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Individual vs non-individual investment adviser in India: client count and fee thresholds that require structural change, transition mechanics and what the shift means in practice.
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How Can Investors Pay an Investment Adviser Through CeFCoM?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
CeFCoM investment adviser: how BSE’s centralised fee collection mechanism works, why SEBI introduced it, the optional mechanism and how investors can use it to verify fee payment traceability.
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How Long Does SEBI Investment Adviser Registration Remain Valid?
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
Investment adviser registration validity in India: understanding continuing registration, periodic obligations, suspension triggers and what happens to clients if registration lapses.
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Why Investment Advice Must Consider Available Alternatives
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser available alternatives obligation: why SEBI requires advisers to compare investment options, how it differs from product pitching and what it means for recommendation quality.
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What Is the Role of a Principal Officer in a SEBI Investment Adviser?
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
Principal officer of a SEBI investment adviser: who qualifies, what their responsibilities are, how their role differs from general management and compliance obligations explained.
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Why Investment Advisers Cannot Promise Guaranteed or Assured Returns
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser assured returns prohibition: why SEBI bans guaranteed return claims, how to identify misleading performance assertions and what investors should do if guaranteed returns are promised.
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SEBI Periodic Reporting for Investment Advisers: IAASB Returns and Compliance Workflow
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
Investment adviser periodic reporting requirements: what returns must be filed, how IAASB sets the reporting format, submission timelines and compliance implications for registered IAs.
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Can a SEBI Investment Adviser View or Operate a Client’s Investment Account?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser access client account rules: can advisers log in to or view client demat accounts, the advisory boundary principle and what consent is required for any account access.
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Investment Adviser Client Records: Written, Email, Call and Digital Evidence Explained
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
Investment adviser client records: the types of evidence acceptable under SEBI guidance — written documents, email, call recordings, SMS and digital records — and how each is managed.
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What Should an Investment Adviser Tell a Client About Risks, Costs and Obligations?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser risk disclosure requirements: market risk, costs, return disclaimers, stop-loss limitations and the disclosures every IA client should receive before any advice is delivered.