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SEBI

Home Acts & Rules SEBI Regulation Securities and Exchange Board of India (Investment Advisers) Regulations 2013 Chapter III = GENERAL OBLIGATIONS AND RESPONSIBILITIES Chapters List This

GENERAL OBLIGATIONS AND RESPONSIBILITIES - Securities and Exchange Board of India (Investment Advisers) Regulations 2013
Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 15 : General responsibility
Regulation 15A : Fees
Regulation 16 : Risk profiling
Regulation 17 : Suitability
Regulation 18 : Disclosures to clients
Regulation 19 : Maintenance of records
Regulation 20 : Appointment of compliance officer
Regulation 21 : Redressal of client grievances
Regulation 22 : Client level segregation of advisory and distribution activities.
Regulation 22A : Implementation of advice or execution
 

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N: Securities and Exchange Board of India (Bankers to an Issue) (Amendmen...
F: INTERMEDIARY SERVICES OR EXPORT SERVICES
F: assessment order
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A: Electronic Liability Register