How to be a SEBI Reg. Investment Advisers

What is SEBI Advisers Act 2013 ?

How to Enroll for SEBI’s Certification ?

What is SEBI Investment Advisers  Act  2013 ?

SEBI has mandated to all the agents who are working in financial market that they must have the minimum standards of knowledge before giving advise to the clients. Although insurance and pension agents are not falling in this category. If you will check out of India like UK or others developed nations  there is  RIA model applicable to sell / advise in the financial market.

But it is dilemma of our country that agents who are selling financial products to us they are not well educated, mature to give the advices.  Even they oneself  don’t have the deep knowledge about the product.

As per this act agent and financial advisers must be two person. A person who has became the financial advisor he / she can get the advisory fee from the client but can not became a agent of any intermediaries.

SEBI Notification for RIA                   

How to Enroll for SEBI RIA Certifications :

SEBI’s having a sister concern name NISM which is taking care of all the securities market education in India. NISM has launch his own certification at different levels. Any one who want to be a part of the securities market can grab that certification according to the requirement and can legally  work .

SEBI RIA Certification FAQ           

SEBI RIA Certification :

There are  two way to get  these certifications :

1. NISM Certifications

• NISM-Series-X-A: Investment Adviser (Level 1)
• NISM Series-X-B: Investment Adviser (Level 2)

2. NISM accredited Certifications:

• CIEL  Advance Wealth Management Certifications
• AAFM wealth Management Certifications
• CFP course by FPSB India
• Chartered Institute for Securities and Investment

Click here for online registration:-

To know more about these certification & enrollment  fill inquiry form we will get back you.