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    Exemption from obtaining registration under IA regulations

    Posted By : Juhee Goyal / Published on : 08-Aug-2022 05:02 AM / View : 158 / Comment : 1

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    Dear Members!

    Whether a person acting in multiple capacities such as insurance agent, pension advisor, mutual fund distributor, etc. is exempted from obtaining registration under SEBI (IA Regulations), 2013 ?
    Read more on : regulations under registration obtaining exemption

    • Hello Juhee,

      A person acting in multiple capacities such as insurance agent, pension advisor, mutual fund distributor, etc. and expand his scope of activities to include investment advice on other financial products or engaged in the financial planning of the clients, then he may be registered and regulated under IA Regulations for advising on such other financial products or financial planning of the clients.

      Thank You.

      08-08-2022 / 05:12:49 AM
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