SEBI Investment Advisor Regulations 2013 - Network FP

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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.

Direct Plans are Good for Intermediaries

Renu Maheshwari
SEBI Registered Investment Adviser
May 15, 2017

Reading Time: 5 minutes Lot has been spoken about how the ‘direct plans’ are better for investors and a lot has been discussed how these plans will devour a flourishing industry (though a small one) of IFAs. If they are good for investors, how can they not be good for advisors? This small article will focus on that – How Direct Plans Are Good For The Intermediaries…At least in this battle between David (Direct) vs Goliath ( Regular) there in no one winner. Let’s read the perspective shared by Renu Maheshwari sharing her point of view in this article.

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Take 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.

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Life 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”.

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