SEBI Tightens the rule on investment advisors and research analysts, whereas it was seen that SEBI Ban almost 3-4 unregistered investment advisors every month and seize their bank account and depository account by issuing interim order. Here it was seen by us, that after receiving interim order people start searching for advocates or chartered accountant who deals in SEBI Matter in the local area but at the end, they are not satisfied with their working as very fewer people are dealing in SEBI Matter. Here we are here to help you, as we have vast experience amount SEBI Matters and solve many cases and orders issued in the name of unregistered/ Registered investment advisor or research analyst. So if you are also in search of a consultant for Sebi matter then you are at the right place where we can help you to resolve the matter and for filing a reply to SEBI on your behalf.
First, if you got an interim order/ show-cause notice from SEBI then the first step includes a reply to SEBI about the notice or objection against the interim order where SEBI Provides 21 days to file an objection against the order and if no objection was filed within 21 days or any prescribed time then the office will pass Final order according to his best judgement and as per the records they have. As per our experience and reading, in the interim order, SEBI takes all credit in your account either its cash, bank transfer or even salary in your account as an advisory business. Here its becomes necessary for us to file a reply about SCN or objection against the interim order. If you don’t file any reply against the order then SEBI will issue a final order and after that option left is to file an objection to SAT which is a very costly and lengthy process.
Either you are running a Registered advisory company or an Unregistered advisory company ( We recommend everyone to start a business only after getting register with SEBI as a Research analyst or Investment Adviser) But as 90% of the business are running unregistered so everyone thinks to go as unregistered investment adviser only , People are running unregistered because they don't know the consequences of running investment adviser firm. Also when you gets registered with SEBI , your responsibility also to protect the interest of investor increase , and you cant charge any amount from the investors. It came to our notice from SEBI ORDERS that some registered investment advisers are taking 2-3 Lacs for their services and Sebi has passed Interim orders against them also.
If you also received any Show cause notice/ interim order/ Final order from the SEBI you can call our CA ( without hesitation on 9729953675 and let him understand your case. We will try our best to come out from the SEBI Orders.
We are a firm of Chartered accountant and Advocates – a firm of SEBI Matter Experts, we will help you in the draft filling of case or presenting on SEBI on behalf of you. First of all, we will understand your concern and read the order or SCN received by you from SEBI. From Oct 2020 ( Amendment in SEBI Act 1992) Sebi issued and ban lots of unregistered and registered investment advisors. Contact us to get proper reply filling and objection
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