How to Withdraw from a Partnership in India
Starting a new business with a partner is exciting, isn’t it? But, as seen at times, things do not always quite go as expected. Any of the partners, voluntaril ...
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Fee-only advisors have to be registered as an Investment Advisor (RIA) with SEBI
- Certification accredited by the National Institute of Securities Markets (NISM) – like Chartered Wealth Manager (CWM)
- CWM certification is provided by AAFM India and approved by AAFM US.
Commission-only advisor has to get certain certifications such as
- Insurance IRDA Examinations IRDAI IC 38
- Certification accredited by the National Institute of Securities Markets (NISM) – like Chartered Wealth Manager (CWM)
- CWM certification is provided by AAFM India and approved by AAFM US
- Minimum age of 21 years.
- Minimum five years of relevant experience.
- No prior convictions for any economic offence or violation of securities laws.
- A net worth of at least Rs. 1 lakh for individuals and Rs. 25 lakhs for non-individuals.
- Not a stockbroker or sub-broker, depository participant, or associated with one.
- Identifying and addressing potential conflicts of interest or threats and ensuring the clients know about them.
- Conducting regular risk assessments to identify and assess the risks to their compliance including identify potential conflicts of interest, operational risks, and reputational risks.
- Tracking compliance incidents, identify areas for improvement, and report on their compliance performance to regulatory authorities.
Mr. Manish is highly professional. We get the best service and advice. Very punctual and dedicated team, always stays upfront in informing anything to avoid obligations. Thank you so much.
Raman Shukla
COO at VSERV Infosystems & Founder VSERV Academy
Mr. Manish Mishra's team provided invaluable guidance and expertise in Fintech and NBFC advisory, helping us navigate complex financial regulations and achieve remarkable growth in our business. Their insights are truly a game-changer.
Abhishek M R
Managing Director AMR FINANCE PVT LTD
Mr. Manish, as our Virtual CFO, has been instrumental in propelling our business to spontaneous growth. His expert guidance and strategic insights have transformed our financial landscape, paving the way for remarkable success.
Ajay Kumar
Founder & CEO - Eagabriz Shipping Pvt Ltd
The Securities and Exchange Board of India regulates an RIA (Registered Investment Advisor) under the SEBI (Investment Advisers) Regulations 2013. Under the regulation, every entity is required to obtain a certificate of registration from SEBI or any other licensed institution unless an exemption specifically applies.
Under how to become an independent advisor, an individual must have a net worth of Rs 5 lakh to be eligible for applying for an RIA (Registered Investment Advisor) certificate.
An RIA (Registered Investment Advisor) is a financial advisor registered with a regulatory agency like SEBI. It has a fiduciary duty to act in their client’s best interests.
A financial advisor is a broad term that can refer to many professionals who provide financial advice, including RIAs, but may not necessarily have the same legal obligations.
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