90,000+ Legal Questions Answered
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
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.
Helpful
Helpful
Share
Read Related Answers
Legal Query
Dear sir,
You can do as proposed at your risk. It seems you have perfected the law relating to above matter and if unfortunately anything happens just go to High court and get a stay order on such pro...
Finance name change
Dear Client,
A financier cannot take away the secured asset from the borrower who fails to repay his debt without an order from the Court. In the given situation, filing a complaint against the recov...
Demat account and equity share related
Dear sir,
You may get issue legal notice to give your money/dividend failing which you may go to civil court to get the same.
Nach charges
Dear Client,
You can connect with the bank to know the reason for deduction of NACH charges and solve the matter amicably. But, in case of inaction or unreasonable deductions by the bank, you can file...
Recovery of my fund against Fraud via share market in whatsup group
Dear Client,
send a legal notice to them through an advocate for offence of cheating under sec 416, 420 of IPC. make sure o=to have all evidences in form of proof like receipts, bills etc additionall...
Read Blogs on Financial Markets and Services
Financial Markets and Services Lawyers
Find Lawyers by Location