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Registered Investment Adviser Send Inquiry | Register

Classroom Session - Level 1
Duration : 2 days
For whom : Any individual, company, body corporate, partnership firm or LLP who provides 'investment advice'(including 'financial planning') for a 'consideration' to clients or other persons or group of persons including any person who holds himself as an IA will be regulated by SEBI IA Regulations. Such persons will require mandatory registration with SEBI
Objective : To enhance the quality of investment advisory and related services in the financial services industry.
Course Content :
  1. Introduction to Indian Financial Market
  2. Securities Market Segments
  3. Mutual Funds
  4. Investment Products
  5. Managing Investment Risk
  6. Measuring Investment Returns
  7. Concept of Financial Planning
  8. Asset Allocation and Investment Strategies
  9. Insurance Planning X. Retirement Planning
  10. Retirement Planning
  11. Tax and Estate Planning
  12. Regulatory Environment and Ethical Issues"
Focus Areas : To create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services.

Classroom Session - Level 2
Duration : 2 days
For whom : Any individual, company, body corporate, partnership firm or LLP who provides 'investment advice'(including 'financial planning') for a 'consideration' to clients or other persons or group of persons including any person who holds himself as an IA will be regulated by SEBI IA Regulations. Such persons will require mandatory registration with SEBI
Objective : To enhance the quality of investment advisory and related services in the financial services industry.
Course Content :
  1. Understanding Securities Markets and Performance
  2. Knowing Operational Aspects of financial transactions
  3. Personal Financial Planning
  4. Comprehensive Financial Planning
  5. Product analysis and selection
  6. Regulatory and Compliance Aspects
  7. Case studies in Comprehensive Financial Advice
Focus Areas : To create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services.

Distance Learning Programme
Duration : Six Months
For whom : Any individual, company, body corporate, partnership firm or LLP who provides 'investment advice'(including 'financial planning') for a 'consideration' to clients or other persons or group of persons including any person who holds himself as an IA will be regulated by SEBI IA Regulations. Such persons will require mandatory registration with SEBI
Objective : To enhance the quality of investment advisory and related services in the financial services industry.
Course Content :
Level 1
  1. Introduction to Indian Financial Market
  2. Securities Market Segments
  3. Mutual Funds
  4. Investment Products
  5. Managing Investment Risk
  6. Measuring Investment Returns
  7. Concept of Financial Planning
  8. Asset Allocation and Investment Strategies
  9. Insurance Planning X. Retirement Planning
  10. Retirement Planning
  11. Tax and Estate Planning
  12. Regulatory Environment and Ethical Issues"
Level 2
  1. Understanding Securities Markets and Performance
  2. Knowing Operational Aspects of financial transactions
  3. Personal Financial Planning
  4. Comprehensive Financial Planning
  5. Product analysis and selection
  6. Regulatory and Compliance Aspects
  7. Case studies in Comprehensive Financial Advice
Focus Areas : To create a common minimum knowledge benchmark for all associated persons registered as an investment adviser and partners and representatives of investment advisers under SEBI (Investment Advisers) Regulations, 2013 and offering investment advisory services.