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Frequently asked Questions
It ensures investment activities align with SEBI regulations, internal policies and client mandates, promoting ethical and legal practices.
It prevents SEBI penalties, protects investors and maintains market integrity, per the SEBI Act, 1992.
They monitor portfolios, flag breaches, implement SEBI rules and support audits to ensure compliance.
By maintaining SEBI-compliant programs, conducting risk assessments and updating policies regularly.
It outlines SEBI-compliant policies, trading rules, ethics and reporting for investment advisors.
To prevent SEBI violations through monitoring, training and documentation, ensuring regulatory adherence.
Novam Legal streamlines SEBI compliance, audits and reporting, reducing risks and saving time.
SEBI regulates advisors and portfolios, enforcing fiduciary duties and audits under the 2013 Regulations.
Investment advisors must conduct annual audits, per SEBI Investment Advisers Regulations, 2013.
Non-compliance risks SEBI penalties, license revocation and loss of investor trust.
Advisors must register, maintain a compliance program, conduct annual audits and follow fiduciary duties, per 2013 Regulations.
ROC requires Form PAS-3 for share allotments under the Companies Act, 2013; RBI and FEMA mandate FC-GPR for foreign investments, ensuring FDI compliance. Novam Legal handles all filings.
