Common mistakes of RA and IAs

  1. Individual IAs cannot provide distribution services as per SEBI regulations, and non-individual IAs must segregate these services from investment advisory activities.
  2. Submitting incomplete or inaccurate Form A applications, using outdated documents, or failing to meet the required qualification and experience criteria can lead to application rejection.
  3. Providing investment advice without the necessary SEBI registration or failing to comply with the specific requirements for investment advice.