X-A chapters / Module 6: Operations, Regulatory Environment, Compliance and Ethics
Chapter 18. Key Regulations
Key laws for investment advisers: SCRA, SEBI Act, PFUTP, insider trading, the amended IA Regulations, PMLA and other relevant Acts including FATCA/CRS.
Total watch time 35 min · Hindi audio
Key topics
- SEBI Act, SCRA, PFUTP and insider trading
- IA registration, qualification, deposit and the 300-client / ₹3 crore rule
- Fee caps (₹1,51,000 or 2.5% of AUA) and advance fees
- Segregation of advisory and distribution; part-time IAs
- AI disclosure, records, compliance audit and IAASB (BSE)
- PMLA, FEMA, Contract Act and FATCA/CRS
Chapter test
25 multiple-choice questions with explanations. Score 60% or more to complete this chapter.
Not attempted yet
Take the test