Current Affairs · SEBI Compliance Rules for Advisers and Research Analysts
Based on recent regulatory amendments by the Securities and Exchange Board of India (SEBI) aimed at tightening compliance rules for Independent Advisers (IAs) and Research Analysts (RAs), evaluate the following statements: 1. Under the newly established tiered deposit structure, IAs and RAs serving between 301 and 1,000 clients in the previous financial year must maintain a deposit of ₹5 lakh. 2. IAs are strictly prohibited from providing any investment advice on non-SEBI products to ensure complete regulatory compliance. 3. The revised fee structure allows IAs the flexibility to switch between an AUA-based fee and a fixed fee without a 12-month waiting restriction, capping the AUA fee at 2.5% per annum. Which of the statements given above is/are correct?
Verified Solution4 OptionsUpdated: October 2026👁️1 View
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1 only
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