Investment Adviser Regulations News

One grouse of the intermediary community is that the investor is averse to paying fees for advice and therefore the fees have to be clandestinely taken

Separating distribution and advisory in financial services works in favour of the investors

The arguments for and against the fiduciary standard are also a part of the US presidential campaign. President Barack Obama remarked that he would use his veto power to implement the Department of Labour fiduciary standard, whereas a Donald Trump adviser promises to repeal the very same thing

Mutual fund distributors need to brace for Sebi's new regulations that could subject many of them to the same strict norms that apply to registered advisers

With Sebi's proposed changes to the investment adviser regulations, advisers may not have to register with the regulator. All persons giving financial advice will be deemed to be under Sebi's ambit

Globally, consumers are more accepting of indirect, built-in charges rather than direct fees

Sebi slaps a four-year ban after two years of investigations; may follow up with monetary penalty

ISO stamp, CFP qualification, Sebi licence and others help advisers stand out in a crowd

As clarifications come for these regulations, we expect more planners warming up to them

A Sebi-registered adviser cannot receive any compensation from anyone other than the client