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Investment Adviser Annual Audit in 2026: Auditor Eligibility, Scope and Compliance
- August 18, 2026
- Posted by: Kunal Singla
- Category: Market
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Investment adviser annual audit requirements: what must be audited, who is eligible to conduct the audit, the March 2026 ICAI/ICSI/ICMAI clarification and compliance implications.
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What Happens to an Investment Adviser Registration After a Change in Control?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
What happens to investment adviser registration after a change of control: old number, new registration, fresh application requirements and what investors should check.
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Investment Adviser Deposit Requirement: How the Client-Based Amount Is Calculated
- August 18, 2026
- Posted by: Kunal Singla
- Category: advisory
Investment adviser deposit requirement: how client-count slabs determine the deposit amount, the bank lien structure and how the annual review process works for registered IAs.
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How Investment Advisers Must Record Pre-Onboarding Conversations With Prospective Clients
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser pre-onboarding records: SEBI’s requirement to preserve advice-related interactions from the first contact with a prospective client — before any agreement is signed.
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Fractal Analytics Share: AI and Analytics Leader Worth Buying?
- August 18, 2026
- Posted by: Kunal Singla
- Category: Market
Should you invest in Fractal Analytics share in 2026? Explore FRACTALINK’s AI and advanced analytics business model and what makes this data science company compelling.
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Why Investment Advisers Should Use Official Communication Channels With Clients
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: Market
Investment adviser official communication channels: why SEBI requires traceable registered communications, what counts as an official channel and how to verify your adviser is compliant.
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Can a Research Analyst Also Become a SEBI Registered Investment Adviser?
- August 18, 2026
- Posted by: Kunal Singla
- Category: Market
Research analyst to investment adviser registration in India: eligibility, conditions and the distinction between RA research and personalised IA advice under SEBI regulations.
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Investment Adviser Record Keeping: What Must Be Preserved for Five Years?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: advisory
Investment adviser record keeping in India: mandatory records categories, five-year preservation requirement, dispute-related exceptions and how to build a compliant documentation system.
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Who Qualifies as a Person Associated With Investment Advice?
- August 18, 2026
- Posted by: Ankit Jaiswal
- Category: advisory
Person associated with investment advice (PAIA) in India: which roles fall within the SEBI IA framework, what certification is required and what compliance obligations apply.
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Can a Bank or NBFC Provide Investment Advisory Services in India?
- August 18, 2026
- Posted by: Kunal Singla
- Category: Market
Bank NBFC investment adviser rules in India: what SEBI and RBI frameworks require for banks and NBFCs offering investment advisory — structure, registration and client implications.