SEBI (Investment Advisers) Regulations, 2013
SEBI regulations for the registration, qualifications and client-facing conduct of investment advisers, read with the IA master circular.
- Applies in
- India
- Edition
- as amended up to 25 November 2025
- Area
- Investment & funds
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- Reg. 7Qualification and certification requirementsCompetence
- Reg. 15Fiduciary duty and general responsibility, including AI tool useConduct
- Reg. 15AFeesConduct
- Reg. 16Risk profilingConduct
- Reg. 17SuitabilityConduct
- Reg. 18Disclosures to clientsDisclosure
- Reg. 19Maintenance of recordsRecords
- Reg. 22Client-level segregation of advisory and distributionConduct
How Amoreg keeps you on it.
Enable the SEBI (Investment Advisers) Regulations, 2013 and the Monitor suggests SEBI as a source. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 8 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read sebi.gov.in/sebiweb/home/HomeAction.do?doListing=yes&sid=1&ssid=3&smid=0
- Check the library against 8 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: qualification and certification requirements
- Rule
- SEBI (Investment Advisers) Regulations, 2013, Reg. 7
- Area
- Competence
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- AIFMD (as amended by AIFMD II)Authorisation, delegation, liquidity management, loan origination and reporting for alternative investment fund managers.European Union · 6 controls
- UCITS DirectiveRetail fund product rules: eligible assets, diversification, depositary, KIID/KID and remuneration.European Union · 5 controls
- EMIR — European Market Infrastructure RegulationClearing, reporting and risk mitigation for derivatives.European Union · 3 controls
- SFDR — Sustainable Finance Disclosure RegulationEntity and product-level sustainability disclosures for financial market participants.European Union · 5 controls
- MiCA — Markets in Crypto-Assets RegulationAuthorisation and conduct for crypto-asset service providers and issuers.European Union · 4 controls
- Guernsey Protection of Investors Law & Collective Investment Scheme RulesLicensing and conduct for investment business and the rules for authorised and registered schemes.Guernsey · 4 controls
Also in India
- SEBI (Intermediaries) Regulations, 2008SEBI regulations for all registered intermediaries, covering registration, fit-and-proper criteria, general conduct, inspection and enforcement.India · 8 controls
- SEBI (Prohibition of Insider Trading) Regulations, 2015SEBI regulations preventing insider trading and controlling unpublished price sensitive information (UPSI) at listed companies, intermediaries and fiduciaries.India · 8 controls
- SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015SEBI regulations for the continuing disclosure and corporate governance obligations of listed entities, read with the LODR master circular.India · 8 controls
- SEBI Cybersecurity and Cyber Resilience Framework (CSCRF)SEBI framework setting cybersecurity and cyber resilience requirements for SEBI-regulated entities, graded by entity category.India · 8 controls
- RBI (Commercial Banks – Know Your Customer) Directions, 2025RBI's binding KYC/AML/CFT direction for commercial banks under the PML Act and Rules, replacing the repealed 2016 KYC Master Direction.India · 8 controls
- RBI (Commercial Banks – Cybersecurity, Technology: Risk, Resilience and Assurance Framework) Directions, 2026RBI's binding IT governance, cybersecurity, resilience and IS-audit direction for commercial banks, replacing the 2023 IT Governance Master Direction and the 2016 Cyber Security Framework.India · 8 controls
Questions
Does Amoreg watch for changes to the SEBI (Investment Advisers) Regulations, 2013?
Yes. Enable it and the Monitor suggests Securities and Exchange Board of India as a source; every publication it records keeps its source, stage and date.
Can Amoreg check our policies against the SEBI (Investment Advisers) Regulations, 2013?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records as amended up to 25 November 2025. Editions were last verified in August 2026, and the Monitor records new publications as they appear.