Investment Advisors Registration
Investment Advisors Registration – Overview
The Securities and Exchange Board of India (SEBI) regulates all professionals and firms providing investment advice, portfolio suggestions, or financial planning services under the SEBI (Investment Advisers) Regulations, 2013. To legally offer such services in India, individuals, partnership firms, LLPs, and companies must obtain SEBI Investment Adviser (IA) Registration.
This registration ensures investor protection by mandating qualification, certification, net worth, disclosure, and compliance requirements. Unregistered advisory can lead to heavy penalties and legal action.
At Cardiff Services, we offer end-to-end SEBI Investment Adviser Registration and Compliance Services in India, ensuring smooth application filing, eligibility compliance, and post-registration governance support.
Why Choose Cardiff Services for SEBI IA Registration
At Cardiff Services, we help financial professionals and firms navigate the complex SEBI registration process with ease. From checking eligibility to drafting compliance manuals and liaising with SEBI, we ensure that your application is accurate, timely, and regulator-ready.
We also provide ongoing compliance services so that your Investment Adviser business stays fully compliant with SEBI norms, wins investor trust, and avoids penalties. With Cardiff Services, your advisory services operate legally, transparently, and with professional credibility.
Key Features of Investment Adviser Registration Support
Eligibility Assessment: Check qualifications, certifications (NISM), and experience.
Registration Filing: Preparation and submission of Form A with SEBI.
Net Worth Compliance: Advisory on minimum net worth (₹5 lakh for individuals/partnerships, ₹50 lakh for corporates).
Policy Drafting: Preparation of compliance manual, client agreement, grievance redressal policy.
Annual & Ongoing Compliance: Support in reporting, disclosures, and audits.
Conflict of Interest Control: Ensuring compliance with SEBI’s fiduciary and segregation norms.
Documents Required for SEBI Investment Adviser Registration
PAN, Aadhaar, and qualification/certification proof (NISM, CFA, MBA, etc.).
Incorporation documents (MOA, AOA, Certificate of Incorporation for LLP/company).
Net worth certificate from a Chartered Accountant.
Board resolution (for corporates).
KYC of directors, partners, and promoters.
Office address proof and utility bills.
Business plan and compliance manual.
Past compliance/experience records (if applicable).
Step-by-Step Procedure for SEBI Investment Adviser Registration
Eligibility Check – Verify qualification, certification, and net worth requirements.
Document Preparation – Collect KYC, financials, business plan, and compliance documents.
Application Filing – Submit Form A and supporting documents to SEBI.
Fee Payment – Pay prescribed registration fees (individual/firm/company).
SEBI Review – Respond to queries and clarifications raised by SEBI.
Grant of Certificate – Receive SEBI Investment Adviser Certificate of Registration.
Post-Registration Compliance – Maintain disclosures, client agreements, and submit annual reports.
Frequently Asked Questions
A company name search ensures that your chosen business name is unique, legally compliant, and not already registered with Companies House UK. It helps you avoid legal disputes, trademark issues, and confusion in the Cardiff business market.
If your desired name is already registered, you’ll need to choose a different name or modify it. Using a taken name could result in rejection by Companies House or potential legal issues. Our experts can help you brainstorm alternative names that are compliant and market-ready.
It’s not advisable to use a name that’s too similar to another company, especially within the same industry. Similar names can confuse customers and risk trademark disputes. A company name search helps you identify these risks early.
For a company name search in Cardiff, you may need:
Proposed company name
Business entity type (Ltd, LLP, Partnership, etc.)
Jurisdiction (Cardiff / UK)
Owner or shareholder details (if applicable)
Business description
A “high probability” result means your proposed company name is likely to be available, but further checks are recommended. This is why our detailed Cardiff Company Name Search Report includes both identical and similar names for clarity.
Certain words are restricted under UK law (e.g., “bank,” “insurance,” “government”). If you want to use them, you’ll need special approval from regulatory bodies. We guide you through this process if your Cardiff business requires such terms