Securities And Exchange Board Of India - Subsection
Section 19(1) in Securities and Exchange Board of India (Investment Advisers) Regulations, 2013
(1)An investment adviser shall maintain the following records, -(a)Know Your Client records of the client;(b)Risk profiling and risk assessment of the client;(c)Suitability assessment of the advice being provided;(d)[ Copies of agreements with clients, incorporating the terms and conditions as may be specified by the Board;] [Substituted by Notification No. SEBI/LAD-NRO/GN/2020/22, dated 3.7.2020 (w.e.f. 21.1.2013).](e)Investment advice provided, whether written or oral;(f)Rationale for arriving at investment advice, duly signed and dated;(g)A register or record containing list of the clients, the date of advice, nature of the advice, the products/securities in which advice was rendered and fee, if any charged for such advice.
