INVESTMENT ADVISER ACT 2013

5 years ago

Respected Sir,
I have Registered with SEBI as an Investment Adviser last year as an Individual .
Being a Startup ,
Considering Recent Scenario in the Market Prevailing & client Suggestion,
I seek Guidance About Portfolio /Account Management on Profit sharing Basis.
1) Can We provide service to trade in Clients Account At the Discretion of the client With Simple Agreement on paper signed by Both (Client , Analyst) &/OR Dealer If any.
2 )Which of Docs i need to keep for this purpose .

Thanks for providing such wonderful opportunity o have a clarification to me startups & like people.

Thanks & Regds,
Dharmesh

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Ambrose Leo

Responded 5 years ago

A.You have to prepare the documents as per the requirement of SEBI Act.Better to consult a Professional Lawyer for drafting the legal documents quickly.

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Anonymous

Replied 5 years ago

Thanks sir for Reply .
sir As per Investment Adviser act ,
Individual Adviser can Provide Non Discretionary Portfolio management services ,
Sir In Recent Scenario We are suggested by clients to rade directly in Our Account , up on your Recommendation Due to their non Presence in Market Or to Take meaningful advantages of Market Movement.
so can We make Trades with Such Agreement To Trade in Account.

please answer & Oblige ..!!

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