Notice No. : 20220915-01
Notice Dated : 15/09/2022
Sub. : BASL – Compliance Reporting by Investment Advisers for FY ended 2021-2022 .
Attention of all Investment Advisers (IAs) is drawn to BASL circular nos. 20220519-01 and 2022051902 dated 19/05/2022 respectively in respect to below mentioned compliance requirements :
Sr. No. | Compliance Type | BASL / SEBI circular dated |
01. | Submission of annual compliance audit report by Investment Advisers for FY ended 2021-2022. | BASL circular dated 19/05/2022 |
02. | BASL – Cyber Security Awareness Campaign Compliance Reporting. |
All BASL enrolled member IAs are hereby informed that the stipulated time period for submission of aforesaid compliance report to BASL is September 30, 2022. Accordingly, all BASL enrolled member IAs are advised to submit their aforesaid compliance requirements within the stipulated time period.
The reporting of aforesaid compliance reporting need to be done to BASL to the email ids as mentioned below
Compliance Type | Subject of mail to BASL* | BASL email id |
Annual compliance audit | Annual compliance audit reporting for FY ended ____ – _____– BASL IA Member Name __________ BASL Member ID : ___________ . | |
Cyber Security Awareness Campaign Compliance | Cyber Security Awareness Compliance Reporting – BASL IA Member Name __________ BASL Member ID : ___________. |
*Members are advised to ensure proper mentioning of the subject.
In case of any queries BASL IA members may reach out vide email to above mentioned email ids.
For and on behalf of BASL
Manjiri Nimkar
Associate Manager.
