How do I become an investment advisor for Sebi?
(c) a professional qualification by obtaining a CFA Charter from the CFA Institute. 2. Experience: An individual IA or a Principal Officer of a non-individual IA must have an experience of at least five years in activities relating to advice in financial products or securities or fund or asset or portfolio management.
How do I become a registered investment advisor in India?
Which documents will I need?
- Address proof.
- Identity proof.
- Qualification proof, including degrees, NISM certificates or CFP certificate.
- Experience certificate, if you are a graduate.
- Certificate of net worth issued by a chartered accountant.
- CIBIL score.
- Necessary declarations.
- Income tax returns for the past three years.
How to become an investment adviser in India?
Well, if you want to become an Investment Adviser in India, you need to get registered with SEBI under SEBI (Investment Advisers) Regulations, 2013.
How many levels are there in the NISM exam?
The examination has 2 levels – “NISM Series X-A and X-B: Investment Adviser”. Alternatively, you can also do other certifications which is accredited by NISM for Investment Advisers. Click here to know more.
Do you need a SEBI registration to be an investment adviser?
The regulations clearly state that no one can act as or claim to be an investment adviser without obtaining a registration certificate from SEBI. This means that registration is mandatory for investment advisers. SEBI regulations exempt certain categories of people from registration.
How to register as a Registered Investment Company in India?
Complete the RIA registration form that’s provided on the SEBI Intermediary Portal and upload your documents. After SEBI approves your application, you need to pay the registration fee of Rs. 10,000.