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TMI BlogConsideration of application and eligibility criteriaX X X X Extracts X X X X X X X X Extracts X X X X ..... ate of registration and in particular the following, namely, - (a) whether the applicant is an individual or 1 [ a non-individual ] ; 2 [ (b) in case the applicant is an individual, he and all persons associated with investment advice are appropriately qualified and certified as specified in regulation 7; ] 3 [ (c) in case the applicant is a body corporate, the principal officer and all persons as ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... effectively discharge the activities of an investment adviser; (h) whether the applicant or any person directly or indirectly connected with the applicant has in the past been refused certificate by the Board and if so, the grounds for such refusal; (i) whether any disciplinary action has been taken by the Board or any other regulatory authority against any person directly or indirectly connected ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... en proposes to undertake investment advisory services, whether the applicant has set up an office in India and proposes to undertake investment advisory services through such office. 9 [ (n) Whether the applicant is enlisted with a body or body corporate recognised under regulation 14: Provided that the existing investment advisers shall be deemed to be enlisted with such a body or body corporate ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... o. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as (c) whether incase the applicant is a body corporate, all the representatives of the applicant who provide investment advice are appropriately qualified and certified as specified in regulation 7; 4. Substituted vide Notification No. SEBI/LAD-NRO/GN/2020/22 dated 03-07-2020 before it was read as (d) whether in case the applicant is ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... tituted vide Notification No. SEBI/LAD-NRO/GN/2024/169 dated 26-04-2024 before it was read as, 8 [ (n) Whether the applicant is a member of a recognized body or body corporate as specified under regulation 14: Provided that the existing investment advisers shall comply with the requirement under this clause in such manner as may be specified by the Board. ] - - statute, statutory provisions legi ..... X X X X Extracts X X X X X X X X Extracts X X X X
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