For new SEBI Portfolio Managers registration applicants, we offer a turn-key registration service. Our team can guide you through the registration process and requirements in detail, and assist in preparing your registration application.
For registered Portfolio Managers (PMS), we assist in the development and implementation of the compliance program and compliance policies and procedures with an emphasis on operations and controls.
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SEBI (Portfolio Managers) Regulations, 2020 require any person who undertakes portfolio management services to be registered with SEBI as a Portfolio Manager. PMS involves managing funds or securities on behalf of clients as per agreed terms. The registration process involves meeting net worth and eligibility criteria, preparing documentation, and submitting the application. Post-registration, Portfolio Managers must comply with ongoing obligations including operations, risk management, reporting, and SEBI filings. We assist with the complete registration journey and ongoing compliance with emphasis on operations and controls.
End-to-end support for PMS registration and compliance.
Preparation and submission of SEBI PMS registration application.
Development and implementation of compliance program and policies.
Operations and controls setup, process documentation.
Compliance audit and gap assessment.
Advisory on business structure, policies, and best practices.
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Common questions about PMS registration and compliance.
Any person who undertakes portfolio management services — i.e., manages funds or securities on behalf of clients as per agreed terms — must be registered with SEBI as a Portfolio Manager, unless exempt.
SEBI (Portfolio Managers) Regulations, 2020 prescribe minimum net worth requirements. We advise on the current requirements and assist with documentation for registration.
Yes. We assist in developing and implementing the compliance program, compliance policies and procedures, with an emphasis on operations and controls as required under SEBI PMS regulations.