HomeWhy SEBI RIA ?

Why SEBI RIA?

Why SEBI Registered Investment Advisor(RIA) ?

You have been dealing with financial advisor since long time and very closely associated with them and share all financial matters may be without knowing whether he is doing in your interest or not. Is there any conflict of interest? Predominantly they are distributor and sell products to their customer on behalf of product manufacturing companies. Lots of initiatives has been taken in past by the concerned Authorities to improve the process so that Advisors should be customer oriented but all has gone in vain and ultimately SEBI rolled out Securities And Exchange Board Of India(Investment Advisers) Regulations, 2013 to regulate all Investment Adviser in the country. The Investment Adviser regulations are in line with regulations prevalent in countries like US, UK or any other, in fact more stringent at many instances. Thus, these regulations are of highly global standard. The objective of these regulations is to differentiate between advisers interested in giving advice suitable to their clients from advisors working for product manufacturers. Any finance professional subject to few exemption who is giving Investment Advice to their Clients has to first register with SEBI as “Investment Adviser”. Once registered, the Investment Advisers work under a standardized operating structure so that the matters related to risk profiling or performance reporting can be deal with diligently. For investors like you, this is a welcome step as you can expect a fair and transparent advice which solely takes your interest on priority. SEBI Investment Advisers Regulations, 2013 has laid down certain Rules & Regulation related to Education & Experience, Fiduciary duty, Compliance, Disclosures, Code of conducts etc. to be followed by SEBI Registered Investment Adviser.

Hence hiring a SEBI Registered Investment Adviser mean a surety that the advice delivered to you is being monitored at all levels of communication and so the adviser works in your interest as per your suitability.

Ensure Wealth Investment Adviser

A1003, THE VIEW, Ramprastha City
Sector-37D, Gurgaon, Haryana-122006, India
+91-9811832802
info@ensurewealthadviser.com
Registration Type- Proprietorship Firm
Registration Validity- Till it is suspended or cancelled by the Board

Principal Officer:

Bimal Chandra Jha (RIA)
+91-9811832802
bimaljha@ensurewealthadviser.com
SEBI Local Office:
S.C.O.-127-128, First Floor,Sector-17-C,
Chandigarh-160017,Telephone:0172-2541717-18
SEBI Regional Office:
5th Fllor, Bank Of Baroda Building, 16, Sansad Marg, New Delhi-110001, Telephone: 011-23724001-05
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