The Recent amendment in SEBI (IA) Regulations, 2013. Too many Individual Investment Advisers give the recommendation but SEBI not accepted and amendment is regulation.
The CISI’s Qualifications and Membership FrameworkSharmila Ghoghe
CISI membership is a compelling marker of professionalism in the financial services industry. Whatever stage of your career you are at, CISI membership highlights to colleagues, clients and the wider industry a commitment to professionalism and the highest standards of knowledge, skills and behaviour. We now have over 40,000 members in 110 countries who take advantage of membership.
ICS Trust is a corporate services firm founded in 1980 in Hong Kong that provides estate planning, tax planning, company formation, trust, and wealth management services. The firm was founded by Canadian lawyer Elizabeth Thomson and is led by Director Kishore Sakhrani. ICS Trust offers these services to private clients and also has programs tailored for corporate clients doing business in China or importing goods from Asia.
This document provides information about an individual's qualifications and approval to provide financial advice. It includes the individual's FCA reference number to check their approval on the FCA register, as well as their CII permanent identity number to verify their membership and compliance with CII standards. The statement confirms the individual has signed an annual declaration and meets the qualification requirements to provide advice.
Ademola provides a summary of his qualifications and experience in investment banking including portfolio management, securities trading, financial advisory services, mergers and acquisitions, and investment advisory services. He has participated in over 8 capital market transactions as part of an investment banking firm. Ademola also has experience as a lecturer in mathematics and statistics and providing investment advisory services to individuals. He holds professional memberships in accounting and stockbroking and has received training in areas such as equity valuation, traded ETFs, and capital market operations.
This document provides an overview of Independent Holistic Financial Planning, a financial planning firm. It summarizes the firm's mission to preserve clients' wealth and ensure safe retirements. It describes the firm's values of treating clients like family and keeping clients' needs as the top priority. The document also lists the firm's services such as pensions, investments, risk planning, and wills. It introduces the principals and employees of the firm and their backgrounds. Finally, it discusses the firm's asset-liability model approach to retirement planning.
Prashant Ajmera, Chairman, funder, and author from Ajmera Law Group made a presentation at the NetworkFP master class in Mumbai, India on 26th June 2019
SORTIS Real Estate is a Bulgarian real estate investment management company jointly owned by SORTIS Invest, BMF Bulgaria, and individual investors. It offers real estate investment advisory, portfolio management, property fund management, and mezzanine financing. The company has a experienced management team and applies international best practices. It currently manages an airport business park project in Sofia and sees opportunities in the growing Bulgarian office, retail, and industrial markets.
Investment Management for Intergenerational WealthWelch LLP
This document summarizes an investment management panel discussion for intergenerational wealth. The panelists discuss establishing a holistic wealth management approach by organizing clients' financial lives and having experts in different areas work together. Purpose Investments is introduced as focusing on building resilient portfolios through lower-cost index and actively managed ETFs with a goals-based approach rather than short-term performance. The panel also covers topics like negative interest rates, the long bull market, and the Trump effect on Canada's economic outlook.
The CISI’s Qualifications and Membership FrameworkSharmila Ghoghe
CISI membership is a compelling marker of professionalism in the financial services industry. Whatever stage of your career you are at, CISI membership highlights to colleagues, clients and the wider industry a commitment to professionalism and the highest standards of knowledge, skills and behaviour. We now have over 40,000 members in 110 countries who take advantage of membership.
ICS Trust is a corporate services firm founded in 1980 in Hong Kong that provides estate planning, tax planning, company formation, trust, and wealth management services. The firm was founded by Canadian lawyer Elizabeth Thomson and is led by Director Kishore Sakhrani. ICS Trust offers these services to private clients and also has programs tailored for corporate clients doing business in China or importing goods from Asia.
This document provides information about an individual's qualifications and approval to provide financial advice. It includes the individual's FCA reference number to check their approval on the FCA register, as well as their CII permanent identity number to verify their membership and compliance with CII standards. The statement confirms the individual has signed an annual declaration and meets the qualification requirements to provide advice.
Ademola provides a summary of his qualifications and experience in investment banking including portfolio management, securities trading, financial advisory services, mergers and acquisitions, and investment advisory services. He has participated in over 8 capital market transactions as part of an investment banking firm. Ademola also has experience as a lecturer in mathematics and statistics and providing investment advisory services to individuals. He holds professional memberships in accounting and stockbroking and has received training in areas such as equity valuation, traded ETFs, and capital market operations.
This document provides an overview of Independent Holistic Financial Planning, a financial planning firm. It summarizes the firm's mission to preserve clients' wealth and ensure safe retirements. It describes the firm's values of treating clients like family and keeping clients' needs as the top priority. The document also lists the firm's services such as pensions, investments, risk planning, and wills. It introduces the principals and employees of the firm and their backgrounds. Finally, it discusses the firm's asset-liability model approach to retirement planning.
Prashant Ajmera, Chairman, funder, and author from Ajmera Law Group made a presentation at the NetworkFP master class in Mumbai, India on 26th June 2019
SORTIS Real Estate is a Bulgarian real estate investment management company jointly owned by SORTIS Invest, BMF Bulgaria, and individual investors. It offers real estate investment advisory, portfolio management, property fund management, and mezzanine financing. The company has a experienced management team and applies international best practices. It currently manages an airport business park project in Sofia and sees opportunities in the growing Bulgarian office, retail, and industrial markets.
Investment Management for Intergenerational WealthWelch LLP
This document summarizes an investment management panel discussion for intergenerational wealth. The panelists discuss establishing a holistic wealth management approach by organizing clients' financial lives and having experts in different areas work together. Purpose Investments is introduced as focusing on building resilient portfolios through lower-cost index and actively managed ETFs with a goals-based approach rather than short-term performance. The panel also covers topics like negative interest rates, the long bull market, and the Trump effect on Canada's economic outlook.
Enda Brady is a director of TIMC Ltd t/a iQ Financial and The Independent Mortgage Company, which he co-owns and has worked at for over 11 years. He has over 20 years of experience in financial services, having previously held roles at Bank of Ireland, ICS Building Society, Jamont Ireland Limited, and Scania Ireland Limited. Brady holds a Bachelor's degree in Business Studies and several financial services qualifications. He provides financial advice to self-employed and high-net-worth individuals, specializing in pensions, investments, insurance, and mortgages. Brady maintains his professional development through continual training and is a member of several financial industry organizations.
ICS TRUST (Asia) Limited is a Hong Kong-based trust company founded in 1980 that provides corporate services and solutions for private clients and corporations. It is licensed as a trust company in Hong Kong and Anguilla. The company offers estate planning, tax planning, company formation, wealth management, and investment solutions for private clients. For corporations, it provides services such as setting up Hong Kong companies, trade programs, and assistance with doing business in China. ICS TRUST has experience helping clients in over 30 jurisdictions.
Brad Reifler explains that all registered investment advisors must file an ADV form with the SEC which requires them to deliver a written brochure to clients in plain English detailing their practices, strategies, fees, and conflicts of interest. The brochure must be presented before entering a contract and annually include any material changes. The brochure supplement also requires background information about individual advisors. In 2011, the SEC began requiring larger private fund advisors to submit regular confidential reports on Form PF. Some small clients are excepted from receiving the annual brochure.
Dos and Don’ts for Entering the Indian Investment Migration Market | India is a large but different market and it needs a different approach to develop and the key is investor awareness
The document outlines the SEBI (Investment Advisers) Regulations 2013 which provides a regulatory framework for investment advisors in India. The key points are:
1) It defines investment advice and investment advisors who must register with SEBI.
2) It exempts certain categories like insurance agents, pension advisors, and others providing incidental advice.
3) It specifies qualifications, certifications, capital adequacy, and other key conditions for registration.
4) It outlines the general obligations of investment advisors including following a suitability process, maintaining records, making disclosures to clients, and more.
Explore the Securities and Exchange Board of India's (SEBI) Alternative Investment Fund (AIF) Regulation, governing India's investment landscape, strategies, and compliance requirements. Stay informed and navigate the complexities of AIFs seamlessly.
Edelweiss Prime Brokerage Services provides an integrated suite of services for asset managers, including fund setup advisory, securities custody and clearing, fund accounting, research and execution services. The document describes Edelweiss' offerings for alternative investment funds, which include fund registration assistance, custodial services, research coverage of over 500 companies, and investor management services like drawdown tracking and statements. Edelweiss aims to be a one-stop-shop for asset managers seeking support across the lifecycle of their funds.
Risk is part of the landscape when investing in start-up firms, and venture capitalists need to approach this peril across a range of dimensions, including geography, industry and the timing of investments in the product development cycle. In today’s turbulent markets, venture capitalists and private equity firms must possess an integrated plan for managing funds, improving portfolio company performance, and maximizing value through effective deal execution.
Consequently in order to provide a single point of access for leveraging our professional service to the benefit of your funds and portfolio company, we’re pleased to launch our Venture Capital & P/E Risk Advisory services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
- 8.25% per annum or 8.75% per annum for a 3-year or 5-year investment
- Interest can be paid as an income or rolled up
- Automatic exit upon maturity, and no need to get involved.
- First floating charge over all of the Company assets, which are held by an FCA-authorised company acting as Trustee for the benefit of the investors.
- Available in any of the three wrappers: cash, ISA, and pension.
This is an opportunity to invest in 8.75% for 5 years debentures from an innovative loans company with a market capitalisation of £10m. The company has a simple business model, lending through three wholly owned subsidiaries offering cash flow, finance and investments and bridging loans.
The company which is a Plc has been strategically formed to add value to the companies it supports. It is a team of business builders whose individual experience encompasses finance, operations, marketing, product development and sales. This enables the three subsidiaries to provide a personable and knowledgeable underwriting service that was described by an existing customer who simply said, ‘it’s like business banking used to be.’
The people behind the company are passionate about finance and enhancing UK business. Their objective is to help to bridge the corporate funding gap and stimulate the growth of UK business.
Subsidiary 1 - Cash flow loans are available to established UK limited and LLPs that are keen to grow facilitated through a secured flexible revolving credit facility as an alternative to a bank overdraft or business
loan. Credit lines are between £10,000 and £500,000 and operate in a similar way to a bank overdraft.
Subsidiary 2 - Finance loans and investments subsidiary takes an equity stake in the company in conjunction with longer-term loans, with repayments to suit the individual company profile.
Typically these companies will have demonstrated the ability to invest, grow and successfully manage their existing cash flow credit facility.
Subsidiary 3 - The bridging loans subsidiary specialises in providing funding to the commercial property sector. The funds are always 100% secured against real assets and supported by additional security. Funding solutions are between £50,000 to £500,000 and are only provided to experienced, solvent commercial borrowers. The company won the Client Choice Award for Best Commercial Property Lender Corporate Live Wire 2016 Financial Award.
The debentures on offer relate to the bridging loans subsidiary.
Unit 5 financial services - venture capitalJegan Jeroh
Venture capital is a form of private equity and financing provided to startup companies with high growth potential. It involves high risk but also offers opportunities for high returns. Venture capital funding includes seed funding, startup funding, and multiple rounds of funding for early-stage companies. It helps promote innovation and entrepreneurship. Some sources of venture capital in India include PACT, TDICI, and venture capital schemes of IDBI. Portfolio management in mutual funds involves processes like security analysis, portfolio selection, and revision to generate optimal returns. Credit ratings are assigned by agencies and indicate a borrower's creditworthiness. Insurance provides protection from financial losses by sharing risks. Life insurance pays death benefits to beneficiaries. IRDA regulates the
- Nirmal Bang Securities Pvt. Ltd is a leading Indian broking firm established in 1986 that has transformed from a small local player to a diverse financial group.
- The Private Client Group aims to provide investment solutions and portfolio management services to high net-worth individuals and corporates regarding their equity investments.
- The research team, headed by Vishal Jajoo, provides investment recommendations based solely on fundamental analysis of companies and evaluates businesses, industries, management, and financials.
The Invicta Financial Group is a long-established financial services business made up of associated companies that provide financial planning, advice, and products to private and corporate clients. While Invicta Financial Group Limited does not provide direct financial advice, its associated companies are authorized and regulated to do so. Certain non-regulated entities also provide business consulting services. The group facilitates introductions between customers and other professional services like accountants. Invicta Financial Group Limited provides administrative support to the various associated companies that make up the Invicta Financial Group.
Table overview of essential facts and requirements for setting up investor funds / hedge funds in the low tax EU jurisdiction of Malta.
* Collective Investment Schemes | Hedge Fund | Mutual Fund | AIFMD | PIFs | Alternative Investment Schemes
iQ Financial provides a broad range of financial products and services from their offices in Sligo, Ireland. They are regulated in insurance, investments, mortgages and more. The company was founded in 2005 by Enda and Coman Brady to provide independent financial advice. Both Enda and Coman have extensive experience in financial services. iQ Financial's services include advice on pensions, investments, insurance, lending and more. They aim to build long-term trusting relationships with clients through honesty, confidentiality and tailored recommendations.
This document presents a comparative analysis of the investment portfolios of business class and service class investors of HSBC InvestDirect in Ludhiana. It finds that business class investors prefer higher risk investments like equity and real estate and have a longer investment horizon. They fall under an aggressive capital appreciation portfolio. Service class investors prefer lower risk investments like mutual funds and are more likely to withdraw during market fluctuations. They have a balanced portfolio seeking moderate risk and return. The analysis is based on a survey of 100 investors using the portfolio management services of HSBC InvestDirect.
This document presents a comparative analysis of the investment portfolios of business and service class investors of HSBC InvestDirect in Ludhiana. It analyzes their demographics, investment purposes, preferred investment avenues, and risk tolerance. The analysis found that business investors prefer equities and real estate for long-term capital appreciation and are more aggressive, while service investors favor mutual funds and are more risk averse. Research methodology included questionnaires, interviews, and analysis of over 100 business and service class investor portfolios to understand their investment behaviors and make comparisons between the two groups.
This document presents a comparative analysis of the investment portfolios of business class and service class investors of HSBC InvestDirect in Ludhiana. It finds that business class investors prefer higher risk investments like equity and real estate and have a longer investment horizon. They fall under an aggressive capital appreciation portfolio. Service class investors prefer lower risk investments like mutual funds and are more likely to withdraw funds during market fluctuations. They have a balanced portfolio seeking moderate risk and return. The analysis is based on a survey of 100 investors using the portfolio management services of HSBC InvestDirect.
Veracity Capital Partners provides investor relations services to investment companies and public companies. They offer an integrated investor relations program that includes advising on capital markets strategies, developing corporate messaging and positioning, and implementing marketing strategies. Their team has extensive experience in the capital markets and relationships with institutional investors. They aim to help clients attract interest from investors, communicate effectively, and achieve their business goals through a tailored investor relations program.
1. The document discusses self-managed superannuation funds (SMSFs) in Australia, which allow individuals to manage their own retirement savings.
2. Key points include that SMSFs allow for cost control, flexibility in investments, and tax benefits but come with greater responsibility compared to other funds.
3. Setting up and running an SMSF requires establishing trustees, an investment strategy, complying with regulations, and managing administration and costs on an ongoing basis.
Enda Brady is a director of TIMC Ltd t/a iQ Financial and The Independent Mortgage Company, which he co-owns and has worked at for over 11 years. He has over 20 years of experience in financial services, having previously held roles at Bank of Ireland, ICS Building Society, Jamont Ireland Limited, and Scania Ireland Limited. Brady holds a Bachelor's degree in Business Studies and several financial services qualifications. He provides financial advice to self-employed and high-net-worth individuals, specializing in pensions, investments, insurance, and mortgages. Brady maintains his professional development through continual training and is a member of several financial industry organizations.
ICS TRUST (Asia) Limited is a Hong Kong-based trust company founded in 1980 that provides corporate services and solutions for private clients and corporations. It is licensed as a trust company in Hong Kong and Anguilla. The company offers estate planning, tax planning, company formation, wealth management, and investment solutions for private clients. For corporations, it provides services such as setting up Hong Kong companies, trade programs, and assistance with doing business in China. ICS TRUST has experience helping clients in over 30 jurisdictions.
Brad Reifler explains that all registered investment advisors must file an ADV form with the SEC which requires them to deliver a written brochure to clients in plain English detailing their practices, strategies, fees, and conflicts of interest. The brochure must be presented before entering a contract and annually include any material changes. The brochure supplement also requires background information about individual advisors. In 2011, the SEC began requiring larger private fund advisors to submit regular confidential reports on Form PF. Some small clients are excepted from receiving the annual brochure.
Dos and Don’ts for Entering the Indian Investment Migration Market | India is a large but different market and it needs a different approach to develop and the key is investor awareness
The document outlines the SEBI (Investment Advisers) Regulations 2013 which provides a regulatory framework for investment advisors in India. The key points are:
1) It defines investment advice and investment advisors who must register with SEBI.
2) It exempts certain categories like insurance agents, pension advisors, and others providing incidental advice.
3) It specifies qualifications, certifications, capital adequacy, and other key conditions for registration.
4) It outlines the general obligations of investment advisors including following a suitability process, maintaining records, making disclosures to clients, and more.
Explore the Securities and Exchange Board of India's (SEBI) Alternative Investment Fund (AIF) Regulation, governing India's investment landscape, strategies, and compliance requirements. Stay informed and navigate the complexities of AIFs seamlessly.
Edelweiss Prime Brokerage Services provides an integrated suite of services for asset managers, including fund setup advisory, securities custody and clearing, fund accounting, research and execution services. The document describes Edelweiss' offerings for alternative investment funds, which include fund registration assistance, custodial services, research coverage of over 500 companies, and investor management services like drawdown tracking and statements. Edelweiss aims to be a one-stop-shop for asset managers seeking support across the lifecycle of their funds.
Risk is part of the landscape when investing in start-up firms, and venture capitalists need to approach this peril across a range of dimensions, including geography, industry and the timing of investments in the product development cycle. In today’s turbulent markets, venture capitalists and private equity firms must possess an integrated plan for managing funds, improving portfolio company performance, and maximizing value through effective deal execution.
Consequently in order to provide a single point of access for leveraging our professional service to the benefit of your funds and portfolio company, we’re pleased to launch our Venture Capital & P/E Risk Advisory services in addition to our existing bouquet of Risk advisory, Consulting, Training & Human Capital Services. Our services are offered through our multi location delivery centres in major metros with total presence in 11 Indian cities network.
- 8.25% per annum or 8.75% per annum for a 3-year or 5-year investment
- Interest can be paid as an income or rolled up
- Automatic exit upon maturity, and no need to get involved.
- First floating charge over all of the Company assets, which are held by an FCA-authorised company acting as Trustee for the benefit of the investors.
- Available in any of the three wrappers: cash, ISA, and pension.
This is an opportunity to invest in 8.75% for 5 years debentures from an innovative loans company with a market capitalisation of £10m. The company has a simple business model, lending through three wholly owned subsidiaries offering cash flow, finance and investments and bridging loans.
The company which is a Plc has been strategically formed to add value to the companies it supports. It is a team of business builders whose individual experience encompasses finance, operations, marketing, product development and sales. This enables the three subsidiaries to provide a personable and knowledgeable underwriting service that was described by an existing customer who simply said, ‘it’s like business banking used to be.’
The people behind the company are passionate about finance and enhancing UK business. Their objective is to help to bridge the corporate funding gap and stimulate the growth of UK business.
Subsidiary 1 - Cash flow loans are available to established UK limited and LLPs that are keen to grow facilitated through a secured flexible revolving credit facility as an alternative to a bank overdraft or business
loan. Credit lines are between £10,000 and £500,000 and operate in a similar way to a bank overdraft.
Subsidiary 2 - Finance loans and investments subsidiary takes an equity stake in the company in conjunction with longer-term loans, with repayments to suit the individual company profile.
Typically these companies will have demonstrated the ability to invest, grow and successfully manage their existing cash flow credit facility.
Subsidiary 3 - The bridging loans subsidiary specialises in providing funding to the commercial property sector. The funds are always 100% secured against real assets and supported by additional security. Funding solutions are between £50,000 to £500,000 and are only provided to experienced, solvent commercial borrowers. The company won the Client Choice Award for Best Commercial Property Lender Corporate Live Wire 2016 Financial Award.
The debentures on offer relate to the bridging loans subsidiary.
Unit 5 financial services - venture capitalJegan Jeroh
Venture capital is a form of private equity and financing provided to startup companies with high growth potential. It involves high risk but also offers opportunities for high returns. Venture capital funding includes seed funding, startup funding, and multiple rounds of funding for early-stage companies. It helps promote innovation and entrepreneurship. Some sources of venture capital in India include PACT, TDICI, and venture capital schemes of IDBI. Portfolio management in mutual funds involves processes like security analysis, portfolio selection, and revision to generate optimal returns. Credit ratings are assigned by agencies and indicate a borrower's creditworthiness. Insurance provides protection from financial losses by sharing risks. Life insurance pays death benefits to beneficiaries. IRDA regulates the
- Nirmal Bang Securities Pvt. Ltd is a leading Indian broking firm established in 1986 that has transformed from a small local player to a diverse financial group.
- The Private Client Group aims to provide investment solutions and portfolio management services to high net-worth individuals and corporates regarding their equity investments.
- The research team, headed by Vishal Jajoo, provides investment recommendations based solely on fundamental analysis of companies and evaluates businesses, industries, management, and financials.
The Invicta Financial Group is a long-established financial services business made up of associated companies that provide financial planning, advice, and products to private and corporate clients. While Invicta Financial Group Limited does not provide direct financial advice, its associated companies are authorized and regulated to do so. Certain non-regulated entities also provide business consulting services. The group facilitates introductions between customers and other professional services like accountants. Invicta Financial Group Limited provides administrative support to the various associated companies that make up the Invicta Financial Group.
Table overview of essential facts and requirements for setting up investor funds / hedge funds in the low tax EU jurisdiction of Malta.
* Collective Investment Schemes | Hedge Fund | Mutual Fund | AIFMD | PIFs | Alternative Investment Schemes
iQ Financial provides a broad range of financial products and services from their offices in Sligo, Ireland. They are regulated in insurance, investments, mortgages and more. The company was founded in 2005 by Enda and Coman Brady to provide independent financial advice. Both Enda and Coman have extensive experience in financial services. iQ Financial's services include advice on pensions, investments, insurance, lending and more. They aim to build long-term trusting relationships with clients through honesty, confidentiality and tailored recommendations.
This document presents a comparative analysis of the investment portfolios of business class and service class investors of HSBC InvestDirect in Ludhiana. It finds that business class investors prefer higher risk investments like equity and real estate and have a longer investment horizon. They fall under an aggressive capital appreciation portfolio. Service class investors prefer lower risk investments like mutual funds and are more likely to withdraw during market fluctuations. They have a balanced portfolio seeking moderate risk and return. The analysis is based on a survey of 100 investors using the portfolio management services of HSBC InvestDirect.
This document presents a comparative analysis of the investment portfolios of business and service class investors of HSBC InvestDirect in Ludhiana. It analyzes their demographics, investment purposes, preferred investment avenues, and risk tolerance. The analysis found that business investors prefer equities and real estate for long-term capital appreciation and are more aggressive, while service investors favor mutual funds and are more risk averse. Research methodology included questionnaires, interviews, and analysis of over 100 business and service class investor portfolios to understand their investment behaviors and make comparisons between the two groups.
This document presents a comparative analysis of the investment portfolios of business class and service class investors of HSBC InvestDirect in Ludhiana. It finds that business class investors prefer higher risk investments like equity and real estate and have a longer investment horizon. They fall under an aggressive capital appreciation portfolio. Service class investors prefer lower risk investments like mutual funds and are more likely to withdraw funds during market fluctuations. They have a balanced portfolio seeking moderate risk and return. The analysis is based on a survey of 100 investors using the portfolio management services of HSBC InvestDirect.
Veracity Capital Partners provides investor relations services to investment companies and public companies. They offer an integrated investor relations program that includes advising on capital markets strategies, developing corporate messaging and positioning, and implementing marketing strategies. Their team has extensive experience in the capital markets and relationships with institutional investors. They aim to help clients attract interest from investors, communicate effectively, and achieve their business goals through a tailored investor relations program.
1. The document discusses self-managed superannuation funds (SMSFs) in Australia, which allow individuals to manage their own retirement savings.
2. Key points include that SMSFs allow for cost control, flexibility in investments, and tax benefits but come with greater responsibility compared to other funds.
3. Setting up and running an SMSF requires establishing trustees, an investment strategy, complying with regulations, and managing administration and costs on an ongoing basis.
The document discusses the benefits of choosing an investment advisor who has earned the Accredited Investment Fiduciary (AIF) Designation. An AIF Designee has received training from the Center for Fiduciary Studies on how to fulfill their fiduciary duty to clients and act solely in the client's best interests. The AIF Designation distinguishes advisors who understand and follow the Prudent Practices for Investment Fiduciaries. Resources and tools are available to AIF Designees to help them incorporate fiduciary principles into their practices and serve clients responsibly. Investors can conduct due diligence on advisors being considered to ensure they are properly qualified.
This document summarizes a report by Go Beyond Investing (GBI) on the performance of angel investment portfolios built by its members from 2008-2014. Key findings include:
1) Over 80% of GBI investors have received a positive return, with some receiving their full investment back from exits. The total value of portfolios has increased from 10.6M CHF invested to 18.5M CHF as of 2015.
2) GBI has built a globally diverse community of 192 investors across 25 nationalities who invest in startups across multiple countries and sectors. This international reach helps with deal sourcing, due diligence and exits.
3) Investors who undergo GBI's
The document introduces the First American National Investment Advisors (FANAdvisors) platform, which provides a solution for financial representatives to adjust to changes in the industry, build steady recurring income, and protect themselves from expanding regulations. The platform helps representatives provide more services to clients, build steady income through an asset-based model, and comply with licensing requirements. Representatives can offer investment advisory services through FANAdvisors with no upfront fees and low monthly administrative fees.
The circular discusses asset allocation of multi cap funds and observes some schemes are focused only on large caps with little investment in small caps, behaving more like large cap funds. It defines a multi cap fund as one investing across large, mid, and small cap stocks with minimum 65% in equities. The circular sets new guidelines that multi cap funds must invest minimum 25% each in large, mid, and small caps to be truly multi cap. Funds not meeting these criteria must merge with a large cap fund or convert to another category like large mid cap.
This document outlines rules related to e-commerce entities in India. It defines what is considered an e-commerce entity and the different types, including inventory and marketplace models. It lists what activities are applicable and not applicable to the rules. The duties of e-commerce entities are described, such as providing accurate product information to consumers, establishing grievance redressal mechanisms, and not manipulating prices or discriminating between consumers. Exceptions and liabilities for non-compliance are also summarized.
The document discusses monetary policy in India. It begins by defining monetary policy as the government's policy to control the quantity, cost, and use of money in the country. It notes that the first monetary policy committee in India was established in 1982 under Professor Sukhamoy Chakraborty to promote price stability and economic growth. The major tools of India's monetary policy are described as quantitative tools that impact the economy, qualitative tools related to specific sectors, and other methods like the bank rate, repo rate, reverse repo rate, and marginal standing facility rate which the Reserve Bank of India uses to control money supply and inflation.
The document summarizes changes to Know Your Client (KYC) verification processes outlined in a SEBI circular, allowing for electronic signatures, digital documents through Digilocker, and video verification in some cases to streamline the KYC process while maintaining anti-money laundering standards. Key changes include accepting e-signatures, scanned documents through eSign or Digilocker, verifying details through APIs without physical documents in some cases, and conducting video verification with random questions.
This document summarizes the key points of the Companies (Auditor's Report) Order, 2020 (CARO 2020) in India. It applies to all companies except for banking, insurance, Section 8 companies, and small/private companies meeting certain criteria. CARO 2020 contains 21 clauses requiring auditors to report on matters like fixed assets, inventory, loans and investments, statutory dues, fraud, related party transactions, internal audits, cash losses, auditor resignations, and consolidated financial statements. The order is effective from April 1, 2020 and aims to improve transparency in company financial reporting.
The Companies Fresh Start Scheme 2020 provides relief to defaulting companies and inactive companies. It allows defaulting companies to file overdue documents without paying additional fees and provides immunity from prosecution for delays, with some exceptions. Inactive companies can apply to be declared dormant or seek removal from the register. The scheme applies through an electronic CFSS-2020 form and does not require professional certification. It does not apply in cases involving court orders or applications for striking off or dormancy already made.
The document discusses money laundering and the Prevention of Money Laundering Act of 2002 in India. It defines money laundering as making illegally obtained money appear to come from legitimate sources. The Act aims to stop this process by applying to the financial, banking, and insurance sectors in India. It requires reporting entities to follow know-your-customer due diligence and maintain records to prevent money laundering activities. Violators can be found guilty of money laundering for attempting to or assisting with concealing the proceeds of criminal acts.
The applicant declares that they have not obtained registration under the GST law and therefore are not entitled to claim any input tax credits on invoices from the authority. They understand it is their responsibility to inform the authority if they get GST registration in the future. The applicant also acknowledges that providing false information in this declaration could result in legal and penal consequences for which they are solely liable.
The document outlines regulations for research analysts in India established by the Security Exchange Board of India (SEBI). It defines key terms like research analyst and research report. It also distinguishes public appearances that require compliance from those that do not, such as password protected webcasts versus television interviews. Additionally, it defines compliance auditing and notes that SEBI established these regulations to protect investors and ensure research analysts comply with applicable authorities.
This document discusses the definition and requirements for establishing a trust in India. It defines a trust as an obligation attached to property ownership that arises from a confidence placed in and accepted by the owner, for the benefit of another. It notes that a corporation can act as both a trustee and beneficiary of a trust under Indian law. It also outlines the key requirements for registering a trust deed with the local registrar, including submitting the deed along with photographs and identity proofs of the settlor, trustees, and witnesses. The registration process requires all parties to be physically present with their original identity documents.
The letter confirms receipt of full and final payment from Ark Primary Advisors Private Limited. It thanks the customer for the prompt payment and expresses that working with customers like them is always a pleasure. The letter also thanks for the work opportunity provided and looks forward to serving the customer again in the future.
The document discusses problems related to defining investment advice and the effect of advice provided by investment advisors according to SEBI regulations. It defines investment advice as recommending or advising on purchasing, selling, or dealing in securities or investment products for a client's benefit. Advice provided through widely available public mediums like newspapers is excluded. Private advice given to clients could be grounds for an SEBI complaint, but public advice available to all cannot be the basis for a complaint. The key consideration is whether the advice was intended for private clients or publicly available.
This document provides an overview of buybacks of shares and securities under various legal frameworks. It begins with definitions of key terms like "buyback" and discusses the history and rationale of buybacks in India. It then compares buyback regulations in the US, UK, and India. The US section outlines the main methods of open market, private, and tender offer repurchases allowed under SEC Rule 10b-18. Benefits of buybacks for companies and shareholders are increasing share price and EPS while returning excess cash. Overall the document provides a comprehensive introduction and comparison of buyback laws and practices.
Corporate Governance : Scope and Legal Frameworkdevaki57
CORPORATE GOVERNANCE
MEANING
Corporate Governance refers to the way in which companies are governed and to what purpose. It identifies who has power and accountability, and who makes decisions. It is, in essence, a toolkit that enables management and the board to deal more effectively with the challenges of running a company.
Genocide in International Criminal Law.pptxMasoudZamani13
Excited to share insights from my recent presentation on genocide! 💡 In light of ongoing debates, it's crucial to delve into the nuances of this grave crime.
Pedal to the Court Understanding Your Rights after a Cycling Collision.pdfSunsetWestLegalGroup
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1. Ready4Compliance
SEBI (INVESTMENT ADVISERS), AMENDMENTS,
REGULATIONS, 2020
S.
No.
Particular Information
1 What is name of this amendment? SEBI(Investment Adviser) Amendment, Regulation, 2020
2 What is purpose of these amendments? Protection of Investor’s interest
3 When these amendments are applicable? Within 90 Days
I. NEW TERMINOLOGY
ASSET UNDER ADVICE: - Aggregate net Asset value of securities or
investment product for which the investment adviser has rendered
investment advice.
FAMILY OF CLIENT:-
i. Individual client
ii. Dependent Spouse
iii. Dependent Spouse
iv. Dependent parents
(Note: Independent Spouse, Childers, and Parents are not included)
FAMILY OF AN INDIVIDUAL INVESTMENT ADVISER:-
i. Individual investment adviser
ii. Spouse
iii. Children, and
iv. Parents.
NON-INDIVIDUAL:- means “Body Corporate” including
- Limited liability Partnership
- Partnership Firm
Person Associate with investment advise:-
- Member
- Partner
- Officer
- Directors
- Employee
- Sale Staff , or any person occupying a similar status or
performing a similar function
(Note:- Do not included :- clerical or office administrative
function where there is no client interface.)
Principal Officer:-
- Managing Director
- Designated Director
- Managing partner
- Executive chairmen
- Equivalent management body who is responsible for overall
function of the business and operation.
II. SPECIAL NOTE FOR MUTUAL FUND DISTRIBUTOR
Mutual fund distributor can not use word following words, unless registered with SEBI
- Independent Financial Advisor
- IFA
- Wealth Advisor
- Any other similar name
III. QUALIFICATION REQUIRED
APPLICANT
Individual Body Corporate Partnership Firm and LLP
Individual and All person associated with investment advice Principal officer and All person
associated with investment advice
Principal Officer and All person associated
with investment advice
Applicant, its partner, principal officer and person associated with investment adviser are fit and proper person under schedule II of SEBI
(Intermediaries), Regulations, 2008
Note:
Question 1: In any Body corporate, each member of Board of Directors shall comply regulation 7?
Answer: No, only principal officer or all person(s), who is/are associated with investment advice.
IV. Qualification and certification requirement
Particular Individual Investment
Adviser
Principal Officer Person associated with advice
Qualification - CFA
- Professional qualification
2. - Post-Graduation (Masters’)
- Post-Graduation Diploma (Minimum two Years)
In following Streams
i. Finance
ii. Accountancy
iii. Business management
iv. Commerce
v. Economic
vi. Capital Market
vii. Banking
viii. Insurance
ix. Actuarial Services
Experience 5 Year 2 Years
Certification in
- Financial Planning
- Fund
- Asset
- Portfolio Management
- Investment advisory
services
- NISM
- Any other organization
- Recognized stock exchange
- Financial Planning Board of India
Fresh Certificate Not through CPE
V. NET WORTH
ORGANIZATION
Non – Individual Individual
- Company
- LLP
- Partnership Firm
- Proprietorship
- Individual Investment Adviser
Rs. 50 Lakh Rs. 5 Lakh
WITH IN THREE YEARS
VI. FOR INDIVIDUAL INVESTMENT ADVISER
VII. FEE
Charge fee, specified by the Board.
VIII. CLIENT SEGREGATION
A. In the condition of Individual Investment Adviser (IIA)
CLIENT
Advisory Services Distribution
Individual Investment Adviser Yes No
Family of Individual Investment Adviser Yes No
Total Number
of Client
More than
150
Non indiviual
Registration
3. (Note: If the client get distribution services from any family member of the IIA, then IIA can not provide the advisory services.)
B. In the condition of Non- Individual Investment Adviser
a. Client level segregation at group level for investment advisory and distribution services
Same client cannot be offered both advisory & Distribution services
within the GROUP OF NON – INDIVIDUAL ENTITY
Advisory Client – No Distribution
Distribution Client – No Advisory Fee
Group Means
Holding Company
Investment & Venture Co.
Entity Associate Company
Subsidiary Company
Subsidiary Company
Maintain the arm’s length relationship Between its activities as Investment
Adviser and Distributor
By providing advisory services through a separate identifiable department
and division
Compliance & Monitoring process for client segregation at
group of family level shall be in accordance with the guideline
of the Board.
IX. Implementation of advice or execution
Individual Investment
Adviser
Execution services Through direct mode No commission and fee (Direct or
Indirect)
Through group or family level.
- Investment adviser or group or family of investment adviser shall not charge any implementation fees from the client.
- The client shall not be under any obligation to avail implementation services offered by the investment adviser.
Contact us:-
Ready4compliance@gmail.com
+91-7828556203
It is our person view and opinion; we are not responsible for any liability. For full reading log in www.sebi.gov.in