SEBI issues enforcement order against Investment Advisers
SEBI issued an enforcement order in the matter of certain Investment Advisers.
SEBI has taken enforcement action against certain Investment Advisers, signalling continued scrutiny of the IA segment. Firms should reassess adviser onboarding, fee models, and conduct monitoring frameworks.
Highlights SEBI's ongoing focus on adviser misconduct and investor protection in the advisory ecosystem.
Action Required
Review IA registration, disclosures, and client-suitability controls against SEBI IA Regulations.
Enforcement patterns against IAs inform compliance risk appetite and control design for advisory businesses.
Enhance monitoring of IA conduct, fee disclosures, and suitability documentation. Confirm alignment with SEBI IA Regulations and update training and surveillance controls.
“Order in the matter of certain Investment Advisers — issued by the Securities and Exchange Board of India.”
Published: 2026-07-28