Network FP Thinktank

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 world.

RIAs vs MFDs – Relax and Focus

Sadique Neelgund
January 3, 2018

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.

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The First RIA Summit Experience!

Suresh Sadagopan
Founder, Ladder7 Financial Advisories
February 16, 2017

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.

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Fee for Advice is the journey which needs to be completed – SEBI

Sadique Neelgund
January 16, 2017

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.

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Network FP’s Response to SEBI’s Consultation Paper on RIA

Sadique Neelgund
October 27, 2016

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.

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How IFAs can Face Commission Disclosure – Communication is the Key

Sadique Neelgund
September 28, 2016

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.

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Dummy’s Guide to SEBI Investment Advisers Regulations 2013

Deepak Jain
March 27, 2014

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

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Take note… take care (w.r.t. SEBI RIA Regulations)

Suresh Sadagopan
Founder, Ladder7 Financial Advisories
March 1, 2014

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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Financial Planners – step back and laugh once in a while !

Rohit Shah
Founder, Getting You Rich
December 27, 2013

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.

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Life of Advisor = Life of Pi who had to live with Richard Parker

Suresh Sadagopan
Founder, Ladder7 Financial Advisories
February 5, 2013

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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Views on Upcoming SEBI’s Investment Advisor Regulations

Sadique Neelgund
December 19, 2012

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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