Network FP Thinktank is an Online Professional Journal by Network FP wherein we share the articles written by top-class financial advisors and industry thought leaders from across India and the world.
RIAs vs MFDs – Relax and Focus
Sadique Neelgund
January 3, 2018
Reading Time: 2 minutes SEBI has yesterday, on January 02, 2018 released yet another (3rd) consultation paper on the way forward for RIA regulations and MFDs. Here are the thoughts of Sadique Neelgund on the 3rd consultation paper and the way forward for MFDs, RIAs & IFAs.
Read MoreThe First RIA Summit Experience!
Suresh Sadagopan
CEO, Ladder7 Wealth Planners Pvt. Ltd.
February 16, 2017
Reading Time: 5 minutes SEBI had brought in a new participant four years ago and it has caused euphoria or heartburn depending on whom you asked.. Network FP decided to decode this new animal & organised RIA Summit. Animal Spirit did get unleased there! If you were not there and want to know more about the electric atmosphere in the room & what sent the adrenaline coursing through the veins, read Suresh Sadagopan’s account here.
Read MoreFee for Advice is the journey which needs to be completed – SEBI
Sadique Neelgund
January 16, 2017
Reading Time: 3 minutes SEBI after its Board Meeting on January 14th released a Press Release which has brought a great relief to IFAs and Mutual Fund Distributors. Through this press release; regulator has acknowledged several ground realities like a need for co-existence of both advisory & distribution models, need for financial viability of advisory model, etc. Read on to know more about what might be the next step of SEBI and what next IFA’s should do by Sadique Neelgund, Founder of Network FP.
Read MoreNetwork FP’s Response to SEBI’s Consultation Paper on RIA
Sadique Neelgund
October 27, 2016
Reading Time: 8 minutes Network FP on behalf of its members has sent a response to SEBI on it’s Consultation Paper on Amendments / Clarification to the SEBI (Investment Advisers) Regulations 2013. The inputs for this response were given by NFP ProMembers and NFP Advisory Board. The draft of this response has been reviewed & approved by majority of the Network FP Members who comprise of CFPs, RIAs & IFAs.
Read MoreHow IFAs can Face Commission Disclosure – Communication is the Key
Sadique Neelgund
September 28, 2016
Reading Time: 4 minutes SEBI has made it clear that commissions of distributors will be disclosed in investors’ CAS (Common Account Statement) from October 1st onwards in absolute numbers. Although I think this could have been well avoided by regulator, I do not want to get into critical review of same. NFP Members had a very good discussion on this last week and I am writing this based on some of the learnings from that healthy discussion.
Read MoreDummy’s Guide to SEBI Investment Advisers Regulations 2013
Deepak Jain
March 27, 2014
Reading Time: 8 minutes This article provides an overview of SEBI Investment Advisory Regulations 2013. Deepak Jain gives us the insights on the applicability and requirements of this regulations. This is an executive summary of the regulation and can help you to quickly understand and plan necessary actions at your end
Read MoreTake note… take care (w.r.t. SEBI RIA Regulations)
Suresh Sadagopan
CEO, Ladder7 Wealth Planners Pvt. Ltd.
March 1, 2014
Reading Time: 3 minutes SEBI RIA Regulations have come into effect from 20th October, 2013. Today, we still find a large number of advisors who are not registered yet but soliciting business for financial planning & advisory services. Suresh Sadagopan, a Registered Investment Advisor (RIA) & a Certified Financial Planner (CFP) gives a word of caution to the advisory fraternity w.r.t. SEBI RIA Regulations.
Read MoreFinancial Planners – step back and laugh once in a while !
Rohit Shah
Founder, Getting You Rich
December 27, 2013
Reading Time: 5 minutes Many a times financial planners take finance and investing too seriously. Rohit Shah, Financial Planner and CEO, Getting You Rich takes some digs at the profession, clients, prospects, SEBI himself. Just step back and laugh it out for a change.
Read MoreLife of Advisor = Life of Pi who had to live with Richard Parker
Suresh Sadagopan
CEO, Ladder7 Wealth Planners Pvt. Ltd.
February 5, 2013
Reading Time: 5 minutes With new Investment Advisor Regulations kicking in, instead of being in denial, advisors should move forward and embrace change. This is just the beginning. It is like Pi finding himself with Richard Parker in the boat. We have a long journey ahead and storms to face and survive in future. Pi had remarked –“Richard Parker – it is because of you I’m alive. You keep me alert day and night and ensure that I lived all these days”.
Read MoreViews on Upcoming SEBI’s Investment Advisor Regulations
Sadique Neelgund
December 19, 2012
Reading Time: 5 minutes Indian Merchants Chamber (IMC) held a seminar in collaboration with Bombay Stock Exchange (BSE) on Regulatory Changes for Investment Advisors on December 18 in Mumbai. I was invited to be on the Panel Discussion to share my views on upcoming advisor regulations… I am sharing the same as Q & A with Network FP community.
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