Exemption from obtaining registration under IA regulations
Posted By :
Juhee Goyal /
Published on :
08-Aug-2022 05:02 AM /
View :
464 /
Comment :
1
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
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Posted By : Juhee Goyal /
Published on :
22-Aug-2023 05:29 AM /
View :
303 /
Comments : 2
Hello Everyone!
Whether the concept of Alternate Director also applicable in case of Foreign Director as he is already residing outside India ?
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Posted By : Juhee Goyal /
Published on :
22-Aug-2023 05:26 AM /
View :
350 /
Comments : 2
Hi Folks!
In case of appointment of Alternate Director, whether the Master Data of the Company reflects the Original Director too ?
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Posted By : Juhee Goyal /
Published on :
15-Jul-2023 04:55 AM /
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321 /
Comments : 2
Hi Everyone!
In what circumstances, special notice is required for the appointment of person other than the retiring auditor ?
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Posted By : Juhee Goyal /
Published on :
14-Jul-2023 05:05 AM /
View :
285 /
Comments : 0
Hi Everyone!
What is the offer period of private placement offer cum application letter in case shares are issued on private placement basis ?
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Posted By : Juhee Goyal /
Published on :
13-Jul-2023 05:56 AM /
View :
473 /
Comments : 0
Hi Everyone!
Is it possible to file the Unaudited Financial Statements of a Company, if yes, whether there is any option to file the Audited Financial Statements after filing of Unaudited Financials ?
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Posted By : Juhee Goyal /
Published on :
12-Jul-2023 05:07 AM /
View :
304 /
Comments : 0
Hi Everyone!
If an individual does not hold majority stake in the member company of the reporting company, whether filing of BEN-2 is applicable or not?
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Posted By : Juhee Goyal /
Published on :
28-Jun-2023 08:39 AM /
View :
317 /
Comments : 0
Hi Everyone!
Are there any restrictions or limitations on the number of foreign directors in an Indian Company ?
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Posted By : Juhee Goyal /
Published on :
27-Jun-2023 04:13 AM /
View :
245 /
Comments : 0
Hi Folks!
Whether, any assets or liabilities for Indian party (i.e. domestic assets and liabilities) are to be included in the FLA return?
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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.