https://beta1.aria.org.in/compliance-resource/ 2026-03-14T13:57:38+00:00 https://beta1.aria.org.in/compliance-resource/loe-notes/ 2024-10-01T13:56:55+00:00 https://beta1.aria.org.in/compliance-resource/manual-for-investment-advisor-applicants/ 2024-10-01T14:01:42+00:00 https://beta1.aria.org.in/compliance-resource/aria-compliance-handbook/ 2024-10-01T14:04:42+00:00 https://beta1.aria.org.in/compliance-resource/disengagement-letter/ 2024-10-01T14:07:37+00:00 https://beta1.aria.org.in/compliance-resource/investor-charter-format/ 2024-10-01T14:09:39+00:00 https://beta1.aria.org.in/compliance-resource/saas-compliance/ 2024-10-01T14:11:36+00:00 https://beta1.aria.org.in/compliance-resource/zoom-webinar-to-discuss-clarifications-on-ria-regulations-amendments-from-seb/ 2024-10-01T14:16:36+00:00 https://beta1.aria.org.in/compliance-resource/clarifications-on-sebis-latest-regulations-by-cs-kruti/ 2024-10-01T14:18:37+00:00 https://beta1.aria.org.in/compliance-resource/presentation-on-compliance-and-audit-requirements-by-ca-sanjay-kadel/ 2024-10-01T14:20:27+00:00 https://beta1.aria.org.in/compliance-resource/queries-by-aria-members-for-basl-membership/ 2024-10-01T14:22:28+00:00 https://beta1.aria.org.in/compliance-resource/q-1-suppose-a-person-has-got-registered-as-an-individual-ria-and-not-commenced-any-business-at-all-either-because-he-has-not-fully-made-up-his-mind-or-kept-it-as-an-enabler-should-it-be-required-in/ 2024-10-01T14:25:20+00:00 https://beta1.aria.org.in/compliance-resource/q-2-there-seems-to-be-no-clarity-on-the-basl-membership-the-basl-website-is-bare-and-lacks-proper-instruction-and-guidance-many-media-and-third-party-sources-have-conflicting-information-on-the-sa/ 2024-10-01T14:28:51+00:00 https://beta1.aria.org.in/compliance-resource/q-3-we-a-sebi-registered-partnership-llp-firm-titles-advantage-financial-planners-llp-formed-in-2013-and-rest-in-2014-have-been-following-all-compliance-related-since-the-beginning-ho/ 2024-10-01T14:31:10+00:00 https://beta1.aria.org.in/compliance-resource/q-4-i-am-an-individual-ria-i-wish-to-convert-to-a-corporate-ria-i-have-been-told-that-i-can-constitute-a-partnership-with-my-wife-and-apply-for-a-firms-ria-registration-sebi-takes-individuals-p/ 2024-10-01T14:33:11+00:00 https://beta1.aria.org.in/compliance-resource/q-5-can-an-individual-ria-share-the-office-space-with-a-individual-mutual-fund-distributor-mfd-common-reception-but-separate-work-cabins-for-ria-and-mfd-is-it-fine/ 2024-10-01T14:34:39+00:00 https://beta1.aria.org.in/compliance-resource/q-6-for-an-individual-ria-who-does-not-have-any-employee-is-it-essential-to-register-with-ceersai-ckyc-if-so-how-should-the-ria-go-about-it-i-e-if-they-push-their-spouse-to-become-a-formal-emplo/ 2024-10-01T14:36:19+00:00 https://beta1.aria.org.in/compliance-resource/q-7-i-have-a-few-clients-who-are-nris-and-residents-outside-india-i-advise-them-on-investing-in-the-indian-stock-markets-do-they-fall-under-the-purview-of-sebi-investment-adviser-regulations-2013/ 2024-10-01T14:39:44+00:00 https://beta1.aria.org.in/compliance-resource/q-8-we-want-to-know-if-sebi-has-given-any-specific-date-before-we-need-to-complete-sebis-new-requirement-of-quarterly-report-on-sebi-sip-portal/ 2024-10-01T14:41:19+00:00 https://beta1.aria.org.in/compliance-resource/q-9-compliance-query-1-sample-format-end-to-end-communication-sequence/ 2024-10-01T14:42:50+00:00 https://beta1.aria.org.in/compliance-resource/q-10-let-us-assume-there-is-a-product-called-a-in-the-market-which-allows-investors-to-invest-only-in-regular-mode-as-the-company-who-has-launched-product-a-has-r/ 2024-10-01T14:44:35+00:00 https://beta1.aria.org.in/compliance-resource/q-11-im-an-individual-ria-with-no-family-members-involved-in-distribution-in-your-compliance-presentation-you-had-mentioned-that-a-nil-certification-is-recommended-my-qu/ 2024-10-01T14:46:03+00:00 https://beta1.aria.org.in/compliance-resource/q-12-i-am-an-individual-ria-i-have-2-assistant-financial-planners-who-are-postgraduates-and-also-have-more-than-4-years-of-experience-in-financial-planning-since-they-are-also-involved-in-the-plan/ 2024-10-01T14:47:16+00:00 https://beta1.aria.org.in/compliance-resource/q-13-i-am-an-individual-ria-and-wish-to-understand-the-step-by-step-process-for-completing-the-kyc-process/ 2024-10-01T14:48:43+00:00 https://beta1.aria.org.in/compliance-resource/q-14-i-have-a-query-with-which-i-need-help/ 2024-10-01T14:49:47+00:00 https://beta1.aria.org.in/compliance-resource/q-15-compliance-queries/ 2024-10-01T14:50:50+00:00 https://beta1.aria.org.in/compliance-resource/q-16-we-are-reaching-out-to-you-regarding-understanding-compliance-norms-for-our-prospect-clientele-which-is-primarily-based-out-of-uganda-which-i-understand-have-additional-surveillance-and-reportin/ 2024-10-01T14:51:51+00:00 https://beta1.aria.org.in/compliance-resource/q-17-wanted-to-understand-in-case-of-blood-relative-of-existing-client-like-wife-mother-father-and-huf-investments-looking-at-investment-advice-can-we/ 2024-10-01T14:52:47+00:00 https://beta1.aria.org.in/compliance-resource/q-18-we-are-equity-investment-advisors-and-have-a-query-regarding-interpretation-of-the-following-as-mentioned-in-section-15-7-of-sebi-regulations-also-pointed-in-attached-document-for-the-same/ 2024-10-01T14:55:08+00:00 https://beta1.aria.org.in/compliance-resource/q-19-i-am-an-individual-ria-my-wife-and-son-both-mba-have-passed-nisms-x-a-and-x-b-exams-my-understanding-is-they-can-be-employed-as-persons-associated-with-investment-advice-even-thoug/ 2024-10-01T14:56:04+00:00 https://beta1.aria.org.in/compliance-resource/q-20-for-an-individual-ria-can-you-please-suggest-simple-step-by-step-guidance-for-intimating-to-fiu-ind-for-appointment-of-principal-officer/ 2024-10-01T14:57:27+00:00 https://beta1.aria.org.in/compliance-resource/q-21-i-am-an-individual-ria-with-my-spouse-in-distribution-business-as-a-pvt-ltd-company-i-also-have-a-3-stake-in-the-firm-in-addition-to-a-third-non-related-owner-this-is-a-disclosure-in-my-initia/ 2024-10-01T14:58:54+00:00 https://beta1.aria.org.in/compliance-resource/q-22-we-are-registered-as-a-corporate-ria-under-my-name-with-sebi-we-wanted-to-understand-2-aspects/ 2024-10-01T14:59:52+00:00 https://beta1.aria.org.in/compliance-resource/q-23-if-possible-can-you-share-drafts-of-of-various-policies-that-are-to-be-maintained-by-ria-like-aml-code-of-conduct-etc-we-want-to-cross-check-if-the-policies-that-we-have-drafted-are-complet/ 2024-10-01T15:00:47+00:00 https://beta1.aria.org.in/compliance-resource/q-24-we-have-done-our-reporting-entity-registration-on-the-financial-intelligence-unit-portal-and-now-we-are-proceeding-for-the-principal-officer-registration-process-but-there-is-a-drop-down-option/ 2024-10-01T15:04:23+00:00 https://beta1.aria.org.in/wp-content/uploads/2024/10/unnamed.png https://beta1.aria.org.in/wp-content/uploads/2024/10/2.png https://beta1.aria.org.in/compliance-resource/q-25-in-case-of-a-non-individual-investment-adviser-private-limited-company-is-it-the-trades-in-the-company-account-or-personal-trading-by-persons-associated-with-investment-advice-that-is-relevant/ 2024-10-01T15:05:33+00:00 https://beta1.aria.org.in/compliance-resource/q-26-if-a-non-individual-investment-adviser-private-limited-company-is-sold-to-a-prospective-employer-is-it-mandatory/ 2024-10-01T15:06:24+00:00 https://beta1.aria.org.in/compliance-resource/q-28-i-am-registered-as-an-individual-ria-with-sebi-but-i-operate-under-a-proprietorship-firm-name-good-moneying-financial-solutions-with-a-separate-bank-account/ 2024-10-01T15:08:09+00:00 https://beta1.aria.org.in/compliance-resource/q-29-in-april-sebi-had-said-that-digital-signatures-are-not-acceptable-we-have-a-lot-of-documents-to-be-signed-by-clients-all-of-them-cannot-by-physical-can-you-please-let-us-know-which-documents/ 2024-10-01T15:09:04+00:00 https://beta1.aria.org.in/compliance-resource/q-30-we-are-registered-with-ckyc-cersai-delhi-ndml-kra-nsdl-and-cams-kra-for-doing-modifying-kycs-of-clients/ 2024-10-01T15:10:03+00:00 https://beta1.aria.org.in/compliance-resource/q-31-i-have-submitted-my-application-for-registration-on-scores-but-i-am-not-receiving-any-reply-the-email-was-sent-on-scoressebi-gov-in/ 2024-10-01T15:11:08+00:00 https://beta1.aria.org.in/compliance-resource/q-32-i-am-a-sebi-ria-working-in-an-individual-capacity-i-charge-a-fixed-fee-for-financial-planning-service-i-keep-the-contract-duration-as-1-year-fee-is-payable-in-advance-on-a-quarterly-basis/ 2024-10-01T15:12:37+00:00 https://beta1.aria.org.in/compliance-resource/q-34-kindly-help-us-understand-the-following-queries/ 2024-10-01T15:14:07+00:00 https://beta1.aria.org.in/compliance-resource/q-35-if-we-are-offering-advisory-service-on-the-personal-portfolio-of-the-client-but-the-client-pays-fees-from-the-company-he-owns-is-there-any-compliance-related-issue/ 2024-10-01T15:15:31+00:00 https://beta1.aria.org.in/compliance-resource/q-36-my-query-is-about-annual-certificates-for-client-level-segregation-the-deadline-for-compliance-with-this-clause-was-april-1-2021/ 2024-10-01T15:17:07+00:00 https://beta1.aria.org.in/compliance-resource/q-37-for-pmla-compliance-all-new-accounts-shall-be-reviewed-against-negative-lists-issued-by-sebi-fmc-exchanges-and-other-lists-such-as-ofac-un-sanctions-lists-etc-can-you-please-tell-us-which-al/ 2024-10-01T15:18:28+00:00 https://beta1.aria.org.in/compliance-resource/q-38-1-we-are-registered-with-ndml-kra-however-one-of-our-client-kyc-was-not-available-on-ndml-and-it-ndml-says-verify-with-cvlkra-then-how-to-go-about-it-as-we-are-not-registered-with-cvlkra-a/ 2024-10-01T15:19:55+00:00 https://beta1.aria.org.in/compliance-resource/q-39-i-need-help-on-sebi-order-on-the-networth-certificate-required-by-30-th-sept2021-for-non-corp-llp/ 2024-10-01T15:21:24+00:00 https://beta1.aria.org.in/compliance-resource/q-40-i-am-an-individual-ia-and-i-am-having-less-than-90-clients-in-the-last-financial-year-2020-2021/ 2024-10-01T15:22:41+00:00 https://beta1.aria.org.in/compliance-resource/q-41-pursuant-to-sebi-notification-each-distributor-of-pms-has-to-complete-nism-series-xxi-a-portfolio-management-services-pms-distributors-certification-examination-kindly-help-us-know-whether/ 2024-10-01T15:24:22+00:00 https://beta1.aria.org.in/compliance-resource/q-42-we-have-received-sebis-license-for-our-private-limited-company-i-e-shah-rohit-financial-services-private-limited-srfs-the-existing-loes-are-signed-with-clients-in-my-individual-cert/ 2024-10-01T15:25:30+00:00 https://beta1.aria.org.in/compliance-resource/q-43-we-have-received-below-response-on-a-query/ 2024-10-01T15:26:47+00:00 https://beta1.aria.org.in/compliance-resource/q-441-athena-investment-advisers-its-partnership-firm-is-registered-ria-with-sebi-registration-no-ina000010557/ 2024-10-01T15:29:42+00:00 https://beta1.aria.org.in/compliance-resource/q-442-networth-for-partnership-firm-please-help-us-to-understand-the-networth-requirement-for-partnership-firm-as-registered-ria/ 2024-10-01T15:30:47+00:00 https://beta1.aria.org.in/compliance-resource/q-443-is-it-mandatory-to-get-registered-with-both-cvl-kra-cersai-ckyc-or-anyone-is-fine/ 2024-10-01T15:31:31+00:00 https://beta1.aria.org.in/compliance-resource/sebi-bse-regulations-circulars/ 2026-03-14T13:50:29+00:00 https://beta1.aria.org.in/compliance-resource/reporting-hy-saas/ 2026-03-14T13:57:38+00:00