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SEBI Cracks Down on Unregistered Investment Advisors — Are You Compliant?

  • 26-Jun-2025
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⚠️ SEBI Cracks Down on Unregistered Investment Advisors — Are You Compliant?

The Securities and Exchange Board of India (SEBI) has recently issued a strict warning to individuals and firms offering investment advice without proper registration. If you're charging clients for financial advice—without being SEBI-registered—you’re not just bending the rules, you’re breaking the law.

Unfortunately, many financial professionals continue to operate without the necessary registration. But here’s the bottom line: Anyone offering paid investment advice must be registered with SEBI. No exceptions.

Why SEBI Registration Is Essential

SEBI’s regulations are in place to ensure investor protection and maintain industry integrity. Advising clients without registration is considered illegal and can lead to serious penalties. With regulatory scrutiny tightening, non-compliance is simply not an option anymore.

✔️ Eligibility to Become a SEBI Registered Investment Advisor (RIA)

Wondering if you qualify? Here’s what SEBI requires for RIA registration:

🎓 Educational Qualifications:

  • A Bachelor's degree in Finance, Commerce, CA, CFA, MBA, or related fields.

📝 Certifications:

  • Successful completion of NISM Series X-A and X-B (Level 1 & 2 for Investment Advisers).

👔 Work Experience:

  • Minimum 2 years’ experience for individuals.

  • Minimum 5 years’ experience for advisory firms.

💼 Financial Criteria:

  • Net worth of ₹5 lakhs for individuals.

  • Net worth of ₹50 lakhs for firms.

📋 Compliance Readiness:

  • Well-established compliance systems and strong recordkeeping processes.

🔍 Background & Credit Check:

  • A clean regulatory history and a healthy CIBIL score.

🚫 Unregistered? You’re at Risk

Advising clients without registration isn’t just unethical—it’s illegal. SEBI is taking strict action, and the consequences range from financial penalties to long-term reputational damage.

✅ Let Us Help You Get Registered

We offer complete support for investment advisors looking to become SEBI-registered. From eligibility checks and documentation to registration, compliance setup, and ongoing advisory—we guide you every step of the way.

📞 Book a FREE consultation today
+91 93113 47006

Don’t risk your career. Become a SEBI-compliant investment advisor and build trust with your clients the right way.

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