Intermediaries are an integral part of securities market. They are the facilitators ensuring seamless functioning of securities market. SEBI regulates various intermediaries in the primary markets through Regulations for
CS Professional · Strategic Management and Corporate Finance · PYQS · June 2025
Intermediaries are an integral part of securities market. They are the facilitators ensuring seamless functioning of securities market. SEBI regulates various intermediaries in the primary markets through Regulations for these intermediaries. These Regulations allow SEBI to inspect the functioning of these intermediaries and to ensure that their conduct is market appropriate and fair. Based on the above statements answer the following questions: (ii) Whether a person acting in multiple capacities such as insurance agent, pension advisor, mutual fund distributor, etc. is exempted from obtaining registration under IA Regulations?
Answer & Explanation:
Registration if acting in multiple capacities A person acting in multiple capacities such as insurance agent, pension advisor, mutual fund distributor, etc. planning to expand his/her scope of activities to include investment advice on other financial products or engaged in the financial planning of the clients shall be registered and regulated under the SEBI (Investment Advisers) Regulations, 2013 for advising on such other financial products or financial planning of the clients.
Topics: Corporate Finance
Related Questions in this Topic
- Distinguish between the following: (iii) Bill Discounting and Factoring.
- Distinguish between the following: (ii) Hire purchase and Hypothecation.
- Distinguish between the following: (i) Letter of Credit (LC) and Letter of Guarantee (LG).
- Explain the changes made by SEBI vide its notification Dated 25th November 2025 in the provisions pertaining to qualific...
- SEBI Vide circular dated September 09, 2025, introduced a new framework enabling Category I and II Alternative Investmen...