Dually registered, or “dual hat,” investment advisers are already well aware of the extensive obligations imposed by the Bank Secrecy Act (“BSA”).

The Securities and Exchange Commission will host a virtual national seminar on Nov. 7 targeted toward chief compliance ...

A key reason for the current delay is that SGBs have become an expensive borrowing route for the government. If gold prices ...

The meeting will be closely watched, as it is the first since opposition Congress and short-seller Hindenburg Research ...

As the needs and desires of consumers change, firms engaged in managing money are also evolving. A registered investment ...

The fragmented Registered Investment Advisors (RIAs) industry has been experiencing consolidation, resulting in some firms ...

One Mobikwik Systems has received the Securities and Exchange Board of India’s (SEBI) approval to raise Rs 700 crore ($84 ...

Marker Regulator Securities and Exchange Board of India (SEBI) has imposed a two-year ban on Priyank Dineshbhai Shah, ...

Those who dismiss risk as an unnecessary consideration may find themselves unprepared when the market inevitably turns.

Waterfield Financial and Investment Advisors, a SEBI-registered investment advisor, has announced the launch of Founders Circle, a program aimed at supporting and mentoring new RIAs. This initiative ...

MFDs will have to explicitly mention on their website that they have ARN in individual name and they are an AMFI registered mutual fund distributor.

The new proposals can significantly increase the number of RIAs by relaxing the requirement of having a Master's degree and ...