Navigating SEBI Regulations for RAs and RIAs - Episode 1

Understand the latest SEBI regulations and their impact on Registered Advisors (RAs) and Registered Investment Advisors (RIAs). In this insightful discussion, Gopesh Mittal, is joined by Anjali Bansal, to break down key regulatory updates and actionable strategies for compliance.

Anjali Bansal is a Practicing Company Secretary at Anjali Bansal & Associates with over 10 years of experience . Under the SEBI space, she has been serving clients who requires guidance and support under SEBI Investment Advisers, Research Analysts, Portfolio Managers, AIFs and Merchant Banker Regulations. I help in procuring the license, complete compliance set and conduct yearly audit. Her contact details are as follows - Email: [email protected] || Phone: +91 91489 73085 || Website: https://www.anjalibansal.in/

Here’s what we cover:
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00:00 - Introduction
01:33 - Overview of Recent SEBI Regulatory Changes
05:00 - Impact on Daily Operations for RAs and RIAs
07:02 - Key Compliance Deadlines and Dates to Remember
09:22 - Marketing and Advertising Restrictions Under SEBI
11:47 - Social Media Guidelines for RAs and RIAs

Key Takeaways:
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■ Regulatory Updates: Understand SEBI’s enhanced measures for licensing, transparency, and compliance.
■ Operational Changes: Learn how to adapt day-to-day processes to meet SEBI requirements.
■ Marketing Ethics: Stay compliant with SEBI’s restrictions on advertising and promotional activities.
■ Social Media Best Practices: Use digital platforms effectively without violating SEBI guidelines.
■ Proactive Compliance: Track deadlines and maintain robust systems for record-keeping and investor reporting.

🚨IMPORTANT : The information shared in this podcast is based on our personal experiences and insights. It is intended for general informational purposes only and should not be considered as legal advice or a substitute for professional consultation. Listeners are encouraged to conduct their own research or consult a qualified legal professional for specific guidance tailored to their situation.
We assume no responsibility for any decisions made based on the content of this podcast.


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Have questions? Drop them in the comments or contact us at the email below.
📧 Contact us at: [email protected] for queries.

Resources Mentioned:
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■ Official SEBI Circulars: Stay updated via SEBI’s website.
■ Compliance Tools: SEBI compliance checklists, digital record-keeping platforms.

Thank you for watching, and here’s to navigating the evolving regulatory landscape with confidence!

Visit our Website: https://www.alphaquark.in/

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