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Sebi Tightens Rules for Advisers, Analysts
Mint Chennai
|January 09, 2025
The market regulator tightened rules for independent advisers and research analysts by imposing deposit requirements and restrictions on the scope of advice to enhance transparency and protect investors.
The new guidelines—following the amendment notified on 16 December—aim to reinforce compliance and ensure better segregation of services between independent advisers (IAs) and research analysts (RAs), according to norms released by the Securities and Exchange Board of India (Sebi) on Wednesday.
Deposit requirements
Sebi introduced a tiered deposit structure for IAs and RAs based on the maximum number of clients served on any given day during the previous financial year.
Up to 150 clients: ₹1 lakh
151 to 300 clients: ₹2 lakh
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