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6min chapter
How to get fined by SEBI if you're an Investment Advisor
Finshots Daily
Adherence to SEBI Regulations for Investment Advisors and Implications of Non-Compliance
The chapter emphasizes the significance of adhering to SEBI's regulations for investment advisors, outlining requirements like signed agreements, client record maintenance, audits, and assessing risk tolerance. A case study of monetary solutions serves as a cautionary tale, where violations led to a significant fine by SEBI.
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Discover
highlights
Listen to the best highlights from the podcasts you love and dive into the full episode