Current Affairs · Banking Regulations
With reference to the regulatory changes announced by the Securities and Exchange Board of India (SEBI) regarding Investment Advisers (IA) and Research Analysts (RA), consider the following statements: 1. SEBI has allowed graduates from any discipline, including law and engineering, to apply for registration as Investment Advisers and Research Analysts, subject to passing the NISM certification examination. 2. Under the revised framework, an individual Investment Adviser crossing 300 clients or Rs 3 crore in fees must complete the conversion to a non-individual entity within 6 months, during which onboarding of new clients is not permitted. 3. As per the eased corporatisation norms, an individual Investment Adviser gets 3 months to apply for in-principle approval and an additional 3 months to complete the transition after informing SEBI. Which of the statements given above is/are correct?
Verified Solution4 OptionsUpdated: October 2026👁️1 View
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- 11 only
- 21 and 3 only✓
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- 41 and 2 only
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1 and 3 only
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