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NOTICES
Notice No.   20250102-3   Notice Date   02 Jan 2025
Category   Others   Segment   General
Subject   Compliance with SEBI (Investment Advisers) Regulations, 2013 for Stock Brokers providing Investment Advice to Clients
 
Content

Trading Members’ attention is drawn to Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013 (“IA Regulations”), wherein any stock broker registered under SEBI (Stock Broker) Regulations, 1992, who provides any investment advice to its clients incidental to its primary activity is not required to seek registration as an Investment Adviser. However, such stock broker shall be liable to comply with the general obligation(s) and responsibilities as specified in chapter III of the IA Regulations.

 Trading Members are advised to take note of said regulatory provisions and ensure compliance.

 

For and on behalf of BSE Ltd.

 

Jinesh Shah                                                                  Bina Khaneria

Dy. General Manager                                                 Manager

Membership Operations &                                       Membership Operations &

Membership Compliance                                          Membership Compliance

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