NISM XV Chapter 14: Legal & Regulatory Environment — 11 Marks Guide
Chapter 14 covers SEBI Research Analyst Regulations 2014, registration requirements, code of conduct, and conflict of interest rules — all tested for 11 marks in NISM Series XV.
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#SEBI regulations
11 articles
NFO Churning in India: Understanding SEBI's 2024 Regulatory Framework
NFO churning in India involves distributors repeatedly moving investor funds between New Fund Offers, often incurring significant costs. SEBI's 2024 guidance aims to curb this practice by enhancing disclosure and accountability, protecting investor capital from unnecessary erosion.
Understanding AT1 Bonds Risk for Indian Retail Investors
AT1 bonds risk in India involves perpetual debt instruments with unique features like principal write-down and discretionary coupon payments. SEBI's March 2021 circular emphasized their illiquidity and high-risk profile for retail investors.
Detecting Mutual Fund Churning by Distributors in India: A Guide
Mutual fund churning by distributors, driven by commission incentives, significantly erodes investor returns through excessive TER and exit loads. Learn to detect this unethical practice by scrutinising transaction patterns and regulatory disclosures.
Understanding Front-Running in Indian Mutual Funds: A Regulatory Perspective
Front-running in Indian mutual funds is an illegal practice where individuals exploit confidential information about upcoming large trades to profit. SEBI's PFUTP Regulations, 2003, ensure market integrity by penalising such manipulation.
Unpacking the Franklin Templeton Mutual Fund Winding-Up Case in India
The Franklin Templeton mutual fund winding-up case in India, involving six debt schemes worth over Rs 26,000 crore in 2020, highlighted critical aspects of credit risk and regulatory oversight. This analysis examines the mechanics of fund closure and investor recovery.
Verifying Mutual Fund Distributor ARN and Commission: A How-To Guide
Checking mutual fund distributor ARN and commission in India is crucial for investor protection. SEBI mandates transparent disclosure, with commissions typically ranging from 0.5% to 1.5% for regular plans, directly impacting your net returns.
Yes Bank AT1 Bonds Mis-selling Case: A Deep Dive into Investor Protection in India
The Yes Bank AT1 bonds mis-selling case exposed significant gaps in investor suitability assessments, leading to substantial losses for retail investors. SEBI's subsequent circular SEBI/HO/IMD/DF2/CIR/P/2021/0530 highlighted the need for stricter regulations on high-risk debt instruments.
Understanding Mutual Fund Mis-Selling: SEBI's Regulatory Framework in India
Mutual fund mis-selling in India, as defined by SEBI circular CIR/IMD/DF/21/2012, involves deceptive practices by intermediaries, leading to unsuitable investments for clients. Regulatory frameworks aim to protect investors from such misconduct by enforcing suitability and transparency norms.
SEBI TER Limit 2026: Save Lakhs in Mutual Funds India
SEBI TER limit for mutual funds 2026 caps equity fund expenses at 2.25% & debt funds at 2.0% for lowest AUM. Understand India's TER to save ₹ lakhs.
TER in Mutual Funds Calculation: SEBI Rules 2026 Explained
TER is calculated by dividing annual operating costs by average daily net assets. SEBI caps equity TER at 2.25%. A 0.10% TER difference costs ₹1.4 lakh on ₹10 lakh over 20 years.