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SEBI Regulations for Registered Investment Advisors in India

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The Securities and Exchange Board of India (SEBI) plays a crucial role in regulating investment advisory services in the country. Any individual or entity offering investment advice must comply with SEBI's guidelines to operate legally and ethically. This article delves into the core SEBI regulations that govern a registered investment advisor India , covering eligibility, compliance, and licensing. What is a Registered Investment Advisor (RIA)? A Registered Investment Advisor (RIA) is an individual or firm registered with SEBI to offer financial advice to clients. These advisors are bound by fiduciary duty, ensuring they act in the best interest of their clients. Importance of RIA Registration SEBI’s regulations ensure transparency, protect investors, and promote professionalism within the investment advisory space. Without a valid RIA license , offering investment advice is considered illegal in India. Key SEBI Regulations for Investment Advisors SEBI first introduced the Invest...
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Understanding Asset Reconstruction Companies and How They Work

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In the evolving landscape of India’s financial system, Asset Reconstruction Company (ARCs) play a crucial role in managing non-performing assets (NPAs). These institutions act as intermediaries between banks and borrowers to help resolve bad loans and revive stressed assets. This article explores what ARCs are, how they function, and why they are important for financial stability. What is an Asset Reconstruction Company? An Asset Reconstruction Company is a specialized financial institution that buys non-performing assets (NPAs) or bad loans from banks and financial institutions at a discounted price. Once these bad loans are off the banks’ books, ARCs work to recover the dues or restructure the debt. ARC Full Form The ARC full form is Asset Reconstruction Company . These companies were introduced under the Securitisation and Reconstruction of Financial Assets and Enforcement of Security Interest (SARFAESI) Act, 2002. Objectives of Asset Reconstruction Companies ARCs are established ...
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Delhi Shop Establishment Certificate: Who Needs It and Why It's Important

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  If you're starting a business in the capital city of India, one of the first legal steps you must take is obtaining a shop establishment certificate Delhi . This essential license ensures your business operates within the legal framework set by the government. But who exactly needs it, and why is it so important? Let's break it down. What is a Delhi Shop Establishment Certificate? The Delhi Shop and Establishment Certificate is a legal document issued under the Delhi Shops and Establishment Act, 1954. It governs the working conditions and rights of employees in shops and commercial establishments operating within Delhi. Key Features of the Certificate Regulates working hours, wages, and conditions. Protects the rights of employees and employers. Mandatory for most businesses within Delhi's jurisdiction. Who Needs the Shop Establishment Registration in Delhi? Whether you're a solopreneur or a business owner with multiple employees, registration under this Act is usual...
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Who is a Mutual Fund Distributor? Roles, Responsibilities, and Benefits

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  Introduction A mutual fund distributor plays a crucial role in the financial ecosystem by helping investors navigate the complexities of mutual fund investments. They act as intermediaries between asset management companies (AMCs) and investors, ensuring that individuals make informed investment decisions. This article explores who a mutual fund distributor is, their key responsibilities, and the benefits associated with this profession. Who is a Mutual Fund Distributor? A mutual fund distributor is a financial professional or entity that assists clients in purchasing and managing mutual fund investments. They are not fund managers but act as sales agents who guide investors toward suitable mutual fund schemes based on their financial goals, risk appetite, and investment horizon. To operate legally, a mutual fund distributor in India must obtain proper certification and registration from regulatory authorities like the Association of Mutual Funds in India (AMFI) and the Securiti...
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