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SEBI (Investment Advisers) Regulations, 2013

  1. The SEBI (Investment Advisers) Regulations, 2013 (IA Regulations) were notified on January 21, 2013 and have come into effect from April 21, 2013. The IA Regulations are available on the SEBI website www.sebi.gov.in
  2. In terms of the IA Regulations, no person shall act as an investment adviser or hold itself out as an investment adviser unless he has obtained a certificate of registration from the Board or he is specifically exempt.
  3. For operational convenience and as part of decentralisation of work, it has been decided that the application for registration as an investment adviser under IA Regulations shall be filed with the concerned Regional Office(RO) / Local Office(LO) of the Board under the jurisdiction of which the registered address of the applicant falls.
  4. At present SEBI has its Head Office at Mumbai and 4 Regional Offices i.e. Eastern Regional Office at Kolkata, Northern Regional Office at Delhi, Southern Regional Office at Chennai and Western Regional Office-II at Ahmedabad. SEBI has opened 9 local offices at Bengaluru, Bhubaneshwar, Guwahati, Hyderabad, Indore, Jaipur, Kochi, Lucknow and Patna.
  5. Accordingly, the persons seeking registration under IA Regulations may file their registration application with the concerned RO/LO of the Board for grant of registration. The addresses of offices of SEBI are available on the website at www.sebi.gov.in and also on the link  http://www.sebi.gov.in/sebiweb/stpages/contact_us.jsp
  6. It may also be noted all the information pertaining to IA Regulations as issued by SEBI from time to time will be available on the website at www.sebi.gov.in under “info for Investment Advisers”.

Mumbai

May 29, 2013

Tags: AhmedabadGuwahatiIndoreKolkataLucknowMumbaiSEBISecurities & Exchange Board of India

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