Compliance Resources Archive - Page 6 of 6 - Association of Registered Investment Advisers

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 same.It would be great if someone could give some straight answers on BASL membership, how to go about it, the forms, contact person, documents required, etc.

Response: Background: BASL = BSE Administration and Supervision Ltd. (BASL) IAASB = Investment Adviser Administration and Supervisory Board (IAASB) SEBI has recently granted recognition to BASL to act as IAASB for 3 years from 1-6-2021. — under existing IA Regulations (specifically Regulation 14) Clarity: Membership of BASL is mandatory. Last date for existing RIAs […]

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 future, what are the obligations if any on him in terms of compliance, reporting, returns, etc. as there is no activity that has happened or expected to take place.

Response: Even though a person has registered as RIA but has not done any related activities, the SEBI IA Regulations and SEBI IA Guidelines are applicable. Few instances of applicable compliances, are highlighted below: Display of Details on website, stationery, etc. — Name of IA, Type of Regn., Contact details, SEBI office address, etc. as […]

Presentation on Compliance and Audit Requirements by CA Sanjay Kadel

Topic : Presentation on Compliance and Audit Requirements by CA Sanjay Kadel When : May 6th,2021 at 5 pm Click here to download presentation file URL = https://immplimited-my.sharepoint.com/:v:/g/personal/itsupport_immpl_com/EYQjlLAxQQdLiSr4xH4I9H8BKr-ZZu5Gxlx-Soi6uU8l8A?e=HtGN9Q

LOE Notes

Title – LOE Notes Session date: 22-12-2020 View More

Clarifications on SEBI’s latest regulations by CS Kruti

Topic : Clarifications on SEBI’s latest regulations by CS Kruti When : 1st Oct 5pm to 8pm Click here to view

Zoom Webinar to discuss Clarifications on RIA Regulations Amendments from SEB

This webinar was held for members to seek clarifications on the amended regulations for RIA from SEBI by preparing and sending them a clarification bank on behalf of ARIA. Click here to view.