SEBI REGISTERED INVESTMENT ADVISOR/RESERCH ANALYST
3 years ago
Respected Sir/Madam,
I am an Engineer with zero Professional work experience in Finance. But I am trading in Stock market for the last 2yrs. I have good knowledge and experience in it. I am in an idea to start PAID call services and investment tips to my clients and would like to expand the same. But SEBI has mandated that only the SEBI Registered Investment Advisor/Research Analyst can provide paid calls and tip services to their clients. To become SEBI Registered, I should do NISM Course Certification. The prerequisite for that course is that One should be a Finance related Graduate or should have 5yr Professional work experience in Finance in order to enroll for that course. This stops me from becoming an Investment Advisor/Research Analyst. What should I do to give paid calls and tip services to my clients Sir/Madam. If I start this paid service will I be punished or is there any exemptions for people like me?
Ayantika Mondal @ Prime Legal
Responded 3 years ago
Since you are not qualified for the same, you should not move further in this profession, and you might get punished for the same.
Since the analyst job requires certain pre-requisites and same are not fulfilled in your case, you might get punished if you start doing this job.
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