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Guide to SEBI Investment Adviser Registration
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Securities and Exchange Board of Indiacorporatecomplianceconsumer

Guide to SEBI Investment Adviser Registration

October 18, 2026

SEBI outlines eligibility, NISM certification, capital requirements, and compliance obligations for investment adviser registration.

Guide to SEBI Investment Adviser Registration

SEBI’s framework for Investment Adviser (IA) registration under the SEBI (Investment Advisers) Regulations, 2013 requires applicants to meet educational qualifications, pass NISM certification, and maintain a minimum net worth of ₹50 lakh.

Applicants must submit Form A through the SEBI Intermediary Portal, provide details of directors or partners, and deposit client protection funds as per RAASB norms. Ongoing compliance includes maintaining records, disclosing conflicts of interest, and adhering to the fiduciary duty standard.

This guide consolidates key procedural and substantive requirements for firms and individuals seeking to act as registered investment advisers. Compliance is critical given SEBI’s recent emphasis on investor protection and enforcement against unregistered advice providers.

Citations

  • SEBI (Investment Advisers) Regulations, 2013
Practice Areas:corporatecomplianceconsumer

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