Complete guide to SEBI investment advisor registration covering fiduciary duties, client agreements, net worth requirements, and compliance obligations
Three-step pathway to become a SEBI registered Investment Advisor
Submit Form A to SEBI with organizational details, financial information, qualifications of principal officer, investment advisory policy, and requisite fee
SEBI reviews eligibility criteria, fiduciary framework, client protection mechanisms, qualifications, and compliance systems before granting approval
Obtain SEBI IA registration certificate. Begin advisory operations and maintain mandatory ongoing compliance and reporting obligations
Essential compliance areas for SEBI registered Investment Advisors
Act in client best interests at all times, avoid conflicts of interest, provide unbiased and suitable advice, maintain strict confidentiality of all client information and portfolios
Execute signed investment advisory agreements with clear terms, fee disclosures, advisory scope, risk profiling, suitability assessment, and conflict management procedures
Maintain all advisory records for 5 years including client risk profiles, investment recommendations, rationale for advice, fee receipts, and client communications
Principal officer must hold post-graduate qualification in finance/related field and NISM Series-XA & XB certifications. Staff providing advisory must also meet SEBI's qualification norms
Key financial and operational requirements for IA registration with SEBI
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