SEBI (Intermediaries) Regulations, 2008
SEBI regulations for all registered intermediaries, covering registration, fit-and-proper criteria, general conduct, inspection and enforcement.
- Applies in
- India
- Edition
- as amended up to 10 October 2026
- Area
- Conduct & prudential
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. 7 & Sch. IIFit and proper person criteria for applicants and intermediariesGovernance
- Reg. 9Conditions of certificate, including prior approval for a change in controlSupervision
- Reg. 13Redressal of investor grievancesConduct
- Reg. 14Appointment of a compliance officerGovernance
- Reg. 16 & Sch. IIICode of conduct for intermediaries and their personnelConduct
- Reg. 16CSole responsibility for the use of AI/ML tools, including third-party toolsThird parties
- Reg. 16EClaim only verified risk-return metricsDisclosure
- Reg. 19Obligations of the intermediary on inspectionSupervision
How Amoreg keeps you on it.
Enable the SEBI (Intermediaries) Regulations, 2008 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: fit and proper person criteria for applicants and intermediaries
- Rule
- SEBI (Intermediaries) Regulations, 2008, Reg. 7 & Sch. II
- Area
- Governance
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- Senior Managers & Certification RegimeIndividual accountability: senior manager responsibilities, certification and conduct rules.United Kingdom · 5 controls
- FCA Consumer DutyThe Consumer Principle, cross-cutting rules and four outcomes for retail customers.United Kingdom · 6 controls
- FCA Handbook — SYSC (Senior Management Arrangements, Systems and Controls)Governance, compliance, risk control, internal audit, record keeping and financial crime systems and controls.United Kingdom · 6 controls
- FCA Handbook — COBS (Conduct of Business)Conduct of business rules for investment business: client categorisation, suitability, disclosure, best execution.United Kingdom · 6 controls
- MiFID II / MiFIRInvestor protection, product governance, transparency and transaction reporting for investment firms.European Union · 6 controls
- PRA Rulebook — Fundamental RulesThe eight fundamental rules for PRA-authorised banks, insurers and designated investment firms.United Kingdom · 6 controls
Also in India
- 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 (Investment Advisers) Regulations, 2013SEBI regulations for the registration, qualifications and client-facing conduct of investment advisers, read with the IA 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 (Intermediaries) Regulations, 2008?
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 (Intermediaries) Regulations, 2008?
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 10 October 2026. Editions were last verified in August 2026, and the Monitor records new publications as they appear.