Financial Year 2020-2021
- The IA is advised to register with C:KYC Registry portal for complying with SEBI circular CIR/MIRSD/120 /2016 dated November 10, 2016.
- The IA is advised to take all the requirements mentioned in the regulation 16(a) of the IA regulations pertaining to the risk profiling of the clients questionnaire as required under the regulation.
- The IA is advised to take consent from clients on completed risk profile through registered email / physical document as required under clause l(ii) of the SEBI circular SEBI/HO/IMD/DFl/CIR/P/2019/169 dated December 27, 2019.
- The IA is advised to comply with the applicable disclosure requirements as mandated under Regulation 18 of the IA regulations.
- The IA is advised to maintain all the records as mandated under Regulation 19 of the IA regulations for all its clients including the clients acquired from a third party platform.
- The IA is advised to display all information under clause 2 (ix) of the SEBI circular SEBI/HO/IMD/DFl/CIR/P /2020/182 dated September 23, 2020 in all its correspondence, agreement and other electronic material with respect to the clients acquired through third party platform or directly.
- The IA is advised to have detailed procedure for expeditious redressal of grievances as required under Regulation 21 of the IA Regulation.