December 01,2023 | 20231201-2 |
SEBI order in respect of Investment Advisers - Yogesh Kukadia and Rajesh R. Kallidumbil
| BASL | SUPERVISION | BASL |
October 19,2023 | 20231019-1 |
Amendment to the Guidelines on Anti-Money Laundering (AML) Standards and Combating the Financing of Terrorism (CFT) /Obligations of Securities Market Intermediaries under the PMLA, 2002 and Rules fram
| BASL | SUPERVISION | Investment Advisers |
October 16,2023 | 20231016-1 |
Master Circular on Know Your Client (KYC) norms for the securities Market.
| BASL | SUPERVISION | Investment Advisers |
October 12,2023 | 20231012-2 |
Extension in timeline for compliance with qualification and experience requirements under Regulation 7(1) of SEBI (Investment Advisers) Regulations, 2013.
| BASL | MEMBERSHIP | Investment Advisers |
October 05,2023 | 20231005-1 |
Centralised mechanism for reporting the demise of an investor through KRAs.
| BASL | SUPERVISION | Investment Advisers |
September 22,2023 | 20230922-1 |
BASL – Annual Compliance Audit Reporting by Investment Advisers for FY ended 2022-2023.
| BASL | SUPERVISION | Investment Advisers |
September 22,2023 | 20230922-2 |
Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform.
| BASL | INVESTOR SERVICES | Investment Advisers |
September 22,2023 | 20230922-3 |
SEBI Press Release dated September 21, 2023.
| BASL | MEMBERSHIP | Investment Advisers |
September 15,2023 | 20230915-1 |
SEBI Circular on simplification of KYC process and rationalisation of Risk Management Framework at KYC (Know Your Client) Registration Agencies (KRAs).
| BASL | SUPERVISION | Investment Advisers |
September 07,2023 | 20230907-1 |
Registration of Investment Advisers – Online Dispute Resolution portal.
| BASL | INVESTOR SERVICES | Investment Advisers |
September 05,2023 | 20230905-1 |
SEBI consultation paper on Performance Validation Agency.
| BASL | SUPERVISION | Investment Advisers |
August 31,2023 | 20230831-1 |
SEBI consultation paper on association of SEBI Registered Intermediaries/Regulated Entities with Unregistered Entities (including Finfluencers).
| BASL | SUPERVISION | Investment Advisers |
August 31,2023 | 20230831-2 |
SEBI consultation paper on mechanism for fee collection by SEBI Registered Investment Advisers and Research Analysts.
| BASL | SUPERVISION | Investment Advisers |
August 10,2023 | 20230810-1 |
Online Resolution of Disputes in the Indian Securities Market
| BASL | INVESTOR SERVICES | Investment Advisers |
August 07,2023 | 20230807-1 |
SEBI Press Release on online remittance of fees payable to SEBI.
| BASL | SUPERVISION | Investment Advisers |
July 03,2023 | 20230703-1 |
Approval of existing advertisement(s)/agreements issued by Investment Advisers (IA).
| BASL | SUPERVISION | Investment Advisers |
May 26,2023 | 20230526-1 |
Advertisement code for Investment Advisers (IA).
| BASL | SUPERVISION | Investment Advisers |
May 04,2023 | 20230504-1 |
Submission of annual compliance audit report by Investment Advisers.
| BASL | SUPERVISION | Investment Advisers |
April 27,2023 | 20230427-2 |
Advertisement code for Investment Advisers (IA).
| BASL | SUPERVISION | Investment Advisers |
April 11,2023 | 20230411-1 |
Usage of brand name / trade name by Investment Advisers (IA).
| BASL | SUPERVISION | Investment Advisers |
April 06,2023 | 20230406-2 |
Advertisement Code for Investment Advisers (IA).
| BASL | SUPERVISION | Investment Advisers |
March 29,2023 | 20230329-1 |
TRAI – Guidelines to curb spam SMSes and misuse of headers and Content Templates by unauthorized Telemarketters (UTMS).
| BASL | INSPECTION | Investment Advisers |
September 15,2022 | 20220915-1 |
BASL – Compliance Reporting by Investment Advisers for FY ended 2021-2022.
| BASL | SUPERVISION | Investment Advisers |
July 18,2022 | 20220718-1 |
Investment Advisers (IA) - Revised Process for seeking Membership from BSE Administration & Supervision Ltd. (BASL) and Registration from Securities Exchange Board of India (SEBI).
| BASL | MEMBERSHIP | Investment Advisers |
May 19,2022 | 20220519-1 |
Submission of annual compliance audit report by Investment Advisers.
| BASL | SUPERVISION | Investment Advisers |
May 19,2022 | 20220519-2 |
BASL – Cyber Security Awareness Campaign Compliance Reporting.
| BASL | SUPERVISION | Investment Advisers |
May 04,2022 | 20220504-2 |
BASL Membership registration by Individual Investment Adviser as Non Individual Investment Adviser.
| BASL | SUPERVISION | Investment Advisers |
April 05,2022 | 20220405-1 |
Membership registration as Investment Advisors with BSE Administration & Supervision Ltd. (BASL).
| BASL | MEMBERSHIP | Investment Advisers |
November 30,2021 | 20211130-1 |
BSE Administration & Supervision Ltd. (BASL) framework for accreditation of Accredited Investors and facility of verification of BASL registered Accredited Investor certification by Investment Provid
| BASL | AI Certification | Accredited Investors |
October 05,2021 | 20211005-1 |
Membership registration with BSE Administration & Supervision Ltd. (BASL) by existing SEBI registered Investment Advisors (RIAs).
| BASL | MEMBERSHIP | BASL |
August 31,2021 | 20210831-1 |
Extension of time for seeking membership BSE Administration & Supervision Ltd. (BASL) by existing SEBI registered Investment Advisors (RIA).
| BASL | MEMBERSHIP | BASL |
July 09,2021 | 20210709-01 |
Mandatory membership registration by existing SEBI registered Investment Advisors with BSE Administration & Supervision Ltd. (BASL)
| BASL | MEMBERSHIP | BASL |
July 05,2021 | 20210705-01 |
BSE Administration & Supervision Ltd. (BASL) – online Membership registration module
| BASL | MEMBERSHIP | BASL |
June 21,2021 | 20210621-01 |
Framework for New applicant membership of investment advisers with BSE Administration & Supervision Ltd. (BASL)
| BASL | MEMBERSHIP | BASL |
June 18,2021 | 20210618-01 |
Framework for membership of registered investment advisers with BSE Administration & Supervision Ltd. (BASL)
| BASL | MEMBERSHIP | BASL |