Investment Adviser Registration & Compliances

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    Investment Adviser registration and compliances

    The International Financial Services Centres Authority (IFSCA) regulates investment advisers operating in the International Financial Services Centres (IFSCs) of India. To provide investment advisory services in an IFSC, an entity must first obtain registration from IFSCA. The registration process is outlined in the IFSCA's Investment Adviser Regulations, 2021.

    Once registered with IFSCA, investment advisers must comply with the IFSCA's Investment Adviser Regulations, 2021. These regulations cover various aspects of investment advisory activities, such as maintaining records, annual audits, submit regular reports etc. The IFSCA may conduct inspections of investment advisers' premises to verify compliance with regulations and address any concerns.

    Failure to comply with IFSCA regulations can result in penalties, including fines, censures, and suspension or cancellation of registration.

    Consult us for Insurance Investment Adviser registration or compliance guidance.


    Eligibility for Investment Adviser Registration

    To be eligible for registration as an investment adviser with IFSCA, an entity must meet the following criteria:


    Registration process for investment advisers with IFSCA

    The registration process for investment advisers with IFSCA involves the following steps:

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    post-registration investment advisers compliances

    We offer comprehensive range of services to help businesses comply with all applicable regulations and protect their reputation.


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    Have Questions?
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    Every entity or individual serving as an investment advisor for an investment company must file with the SEC, irrespective of the quantity of assets under their management.

    RIAs, or Registered Investment Advisors, are financial entities that oversee the assets belonging to both individual and institutional investors. These advisors are required to complete registration either with the U.S. Securities and Exchange Commission (SEC) or with a state regulatory agency, based on the total value of assets they manage.

    An RIA is anticipated to achieve results within the Technology Readiness Levels (TRL) range of 2 to 6, whereas an IA is designed for higher TRLs, typically averaging between 6 and 8. An RIA focuses on generating fresh insights or investigating innovative technologies, products, processes, services, or solutions.

    Two primary categories of investment professionals to contemplate are “registered representatives,” commonly known as brokers, and “investment adviser representatives,” frequently referred to as financial advisors or investment advisors.


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