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DateCircular No.SubjectSegmentCategoryProduct
December 01,202320231201-2 SEBI order in respect of Investment Advisers - Yogesh Kukadia and Rajesh R. Kallidumbil BASLSUPERVISIONBASL
October 19,202320231019-1 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 BASLSUPERVISIONInvestment Advisers
October 16,202320231016-1 Master Circular on Know Your Client (KYC) norms for the securities Market. BASLSUPERVISIONInvestment Advisers
October 12,202320231012-2 Extension in timeline for compliance with qualification and experience requirements under Regulation 7(1) of SEBI (Investment Advisers) Regulations, 2013. BASLMEMBERSHIPInvestment Advisers
October 05,202320231005-1 Centralised mechanism for reporting the demise of an investor through KRAs. BASLSUPERVISIONInvestment Advisers
September 22,202320230922-1 BASL – Annual Compliance Audit Reporting by Investment Advisers for FY ended 2022-2023. BASLSUPERVISIONInvestment Advisers
September 22,202320230922-2 Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform. BASLINVESTOR SERVICESInvestment Advisers
September 22,202320230922-3 SEBI Press Release dated September 21, 2023. BASLMEMBERSHIPInvestment Advisers
September 15,202320230915-1 SEBI Circular on simplification of KYC process and rationalisation of Risk Management Framework at KYC (Know Your Client) Registration Agencies (KRAs). BASLSUPERVISIONInvestment Advisers
September 07,202320230907-1 Registration of Investment Advisers – Online Dispute Resolution portal. BASLINVESTOR SERVICESInvestment Advisers
September 05,202320230905-1 SEBI consultation paper on Performance Validation Agency. BASLSUPERVISIONInvestment Advisers
August 31,202320230831-1 SEBI consultation paper on association of SEBI Registered Intermediaries/Regulated Entities with Unregistered Entities (including Finfluencers). BASLSUPERVISIONInvestment Advisers
August 31,202320230831-2 SEBI consultation paper on mechanism for fee collection by SEBI Registered Investment Advisers and Research Analysts. BASLSUPERVISIONInvestment Advisers
August 10,202320230810-1 Online Resolution of Disputes in the Indian Securities Market BASLINVESTOR SERVICESInvestment Advisers
August 07,202320230807-1 SEBI Press Release on online remittance of fees payable to SEBI. BASLSUPERVISIONInvestment Advisers
July 03,202320230703-1 Approval of existing advertisement(s)/agreements issued by Investment Advisers (IA). BASLSUPERVISIONInvestment Advisers
May 26,202320230526-1 Advertisement code for Investment Advisers (IA). BASLSUPERVISIONInvestment Advisers
May 04,202320230504-1 Submission of annual compliance audit report by Investment Advisers. BASLSUPERVISIONInvestment Advisers
April 27,202320230427-2 Advertisement code for Investment Advisers (IA). BASLSUPERVISIONInvestment Advisers
April 11,202320230411-1 Usage of brand name / trade name by Investment Advisers (IA). BASLSUPERVISIONInvestment Advisers
April 06,202320230406-2 Advertisement Code for Investment Advisers (IA). BASLSUPERVISIONInvestment Advisers
March 29,202320230329-1 TRAI – Guidelines to curb spam SMSes and misuse of headers and Content Templates by unauthorized Telemarketters (UTMS). BASLINSPECTIONInvestment Advisers
September 15,202220220915-1 BASL – Compliance Reporting by Investment Advisers for FY ended 2021-2022. BASLSUPERVISIONInvestment Advisers
July 18,202220220718-1 Investment Advisers (IA) - Revised Process for seeking Membership from BSE Administration & Supervision Ltd. (BASL) and Registration from Securities Exchange Board of India (SEBI). BASLMEMBERSHIPInvestment Advisers
May 19,202220220519-1 Submission of annual compliance audit report by Investment Advisers. BASLSUPERVISIONInvestment Advisers
May 19,202220220519-2 BASL – Cyber Security Awareness Campaign Compliance Reporting. BASLSUPERVISIONInvestment Advisers
May 04,202220220504-2 BASL Membership registration by Individual Investment Adviser as Non Individual Investment Adviser. BASLSUPERVISIONInvestment Advisers
April 05,202220220405-1 Membership registration as Investment Advisors with BSE Administration & Supervision Ltd. (BASL). BASLMEMBERSHIPInvestment Advisers
November 30,202120211130-1 BSE Administration & Supervision Ltd. (BASL) framework for accreditation of Accredited Investors and facility of verification of BASL registered Accredited Investor certification by Investment Provid BASLAI CertificationAccredited Investors
October 05,202120211005-1 Membership registration with BSE Administration & Supervision Ltd. (BASL) by existing SEBI registered Investment Advisors (RIAs). BASLMEMBERSHIPBASL
August 31,202120210831-1 Extension of time for seeking membership BSE Administration & Supervision Ltd. (BASL) by existing SEBI registered Investment Advisors (RIA). BASLMEMBERSHIPBASL
July 09,202120210709-01 Mandatory membership registration by existing SEBI registered Investment Advisors with BSE Administration & Supervision Ltd. (BASL) BASLMEMBERSHIPBASL
July 05,202120210705-01 BSE Administration & Supervision Ltd. (BASL) – online Membership registration module BASLMEMBERSHIPBASL
June 21,202120210621-01 Framework for New applicant membership of investment advisers with BSE Administration & Supervision Ltd. (BASL) BASLMEMBERSHIPBASL
June 18,202120210618-01 Framework for membership of registered investment advisers with BSE Administration & Supervision Ltd. (BASL) BASLMEMBERSHIPBASL