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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

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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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