Grievance Redressal/ Escalation Matrix to be displayed by Investment Advisers and Research AnalystsDecember 9, 202420241209-41
Extension in timeline to obtain fresh NISM Certification under Regulation 7(2) of SEBI (Investment Advisers) Regulations, 2013November 29, 202420241129-61
BSE – Annual Compliance Certificate for Client Level Segregation by nonindividual Investment Advisers and Timeline for submission of periodic reportsOctober 28, 202420241028-37
Annual Compliance Certificate for Client Level Segregation by nonindividual Investment Advisers & Timeline for submission of periodic reportsOctober 25, 2024SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/147
Association of persons regulated by the Board and their agents with certain personsOctober 22, 2024SEBI/HO/MIRSD/ MIRSD-PoD-1/P/CIR/2024/143
CVL Implementation of Centralization of certifications under Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS) at KYC Registration Agencies (KRAs)September 27, 2024CVL/OP S/INTERM/GENRL/24-209
Framework For Centralized Fee Collection Mechanism (CeFCoM) For Investment Advisers (IA) &Research Analysts (RA)September 25, 202420240925-10
