SEBI License (Stock Broker / AIF / Mutual Fund / Portfolio Manager / Investment Adviser / Research Analyst / Merchant Banker / FPI / Depository Participant / Custodian / CRA) — most rigorous capital markets framework under SEBI Act 1992 + SCRA 1956 + Depositories Act 1996 + ca...
SEBI License (Stock Broker / AIF / Mutual Fund / Portfolio Manager / Investment Adviser / Research Analyst / Merchant Banker / FPI / Depository Participant / Custodian / CRA) — most rigorous capital markets framework under SEBI Act 1992 + SCRA 1956 + Depositories Act 1996 + category-specific Regulations. Comprehensive: entity setup + Net Worth ₹1 LAKH-₹100 CRORE + Fit & Proper vetting + NISM certifications + Comprehensive policies + Cyber Security (SEBI 2023 framework) + IT infrastructure + Application via SI Portal + SEBI scrutiny (3-24 months category-dependent) + Final approval + Ongoing compliance. Multi-disciplinary engagement of capital markets lawyers + Big-4 auditors + IT specialists + compliance officers. NOT FSSAI / NOT MoEFCC / NOT incorporation.
SEBI License (Broker / AIF / MF) in Rohru is a critical service for individuals, entrepreneurs, and enterprises operating in Himachal Pradesh. At Nyaya Grah, we deliver this service under the direct supervision of senior counsel — never juniors masquerading — with complete process transparency and a binding money-back guarantee.
Rohru, with its 2L+ active businesses and ₹2L+ economic footprint, demands legal infrastructure that is both fast and accurate. Himachal Pradesh's jurisdictional nuances — including a stamp duty of 5% and Not applicable professional tax — require local expertise that our team brings to every engagement.
Whether you are filing your first application, navigating a complex matter, or seeking specialist counsel, our practice in Rohru ensures every submission carries the imprimatur of seasoned review. We handle the regulatory machinery — you focus on your business.
Everything required to complete your SEBI License (Broker / AIF / MF) in Rohru — bundled into a single fixed fee.
A structured four-step process designed to be transparent, predictable, and accountable at every stage.
Free 30-min consultation with senior partner. Clear quote, timeline, document checklist.
Day 0Signed engagement letter with fixed fee. Document collection begins.
Day 1Category selection · Entity Foundation + Net Worth · NISM certifications · Comprehensive policies + PPM (AIF) / SID-SAI-KIM (MF) · Cyber Security framework · Application via SI Portal · SEBI scrutiny + queries · On-site inspection · Registration Certificate.
Day 2-7SEBI Registration Certificate (category-specific) + Comprehensive policy framework + Stock Exchange/Depository membership (if applicable) + First Scheme/Fund launch + AMFI/SCORES integration + 36-month post-registration support.
FinalA typical checklist. Our team will customize this list during the consultation based on your specific case.
Jurisdictional details relevant to your SEBI License (Broker / AIF / MF) in Rohru.
Fixed professional fees. Government charges quoted separately and disclosed in the engagement letter.
| Component | What's Included | Cost |
|---|---|---|
| SEBI License (Broker / AIF / MF) · Professional FeesSenior counsel · End-to-end service | All work above | ₹249999Fixed |
| Government FeesAuthority charges, filing fees | Pass-through | At ActualsReceipts shared |
| Stamp Duty (if applicable)Himachal Pradesh rate: 5% | As per state | At ActualsQuoted upfront |
| GST on Professional Fees18% as per Indian GST | Statutory | 18%On professional fee |
All fees are disclosed in writing on the engagement letter before commencement. Money-back guarantee if we miss the quoted timeline.
Answers to questions most often posed by our clients in Himachal Pradesh.
Our professional fee for SEBI License (Broker / AIF / MF) in Rohru starts at ₹249999, all-inclusive. Government fees, stamp duty (5% in Himachal Pradesh), and 18% GST are billed separately at actuals. The complete fee breakdown is disclosed in writing on the engagement letter before work begins.
The standard timeline for SEBI License (Broker / AIF / MF) is 7-10 working days. We provide a written timeline on the engagement letter — if we miss it for reasons attributable to us, our professional fee is fully refunded (binding guarantee).
Yes. End-to-end. From document preparation to final filing with ROC Shimla and follow-up till certificate issuance — every step is handled by our team in Rohru. You will receive real-time updates via WhatsApp at every milestone.
You will speak to a senior partner with 15+ years of practice. We do not have juniors masquerading as senior counsel. Every consultation, strategic decision, and material communication is conducted by a partner. Routine execution may be delegated to qualified associates — but oversight remains with the partner throughout.
A typical checklist includes PAN, Aadhaar, address proof, and service-specific documents. The complete list is customized during your free consultation. We accept digital scans (PDF/JPG) — physical visits to our office are not required.
We serve clients across Himachal Pradesh and all of India — 1,219+ cities. Our jurisdictional expertise for Himachal Pradesh includes specific knowledge of ROC Shimla procedures, Himachal Pradesh stamp duty (5%), and applicable state schemes such as HP Industrial.
Simply call +91 7878407950 or message us on WhatsApp. Your first 30-min consultation is complimentary, conducted directly with the senior partner relevant to your matter. You will leave the call with full clarity on cost, timeline, and process — with no obligation to proceed.
Every engagement at Nyaya Grah is grounded in the relevant statute. For founders and counsel reviewing this matter, here is the foundation.
PRIMARY AUTHORITY: SECURITIES AND EXCHANGE BOARD OF INDIA (SEBI) — established under SEBI Act 1992; statutory regulator for capital markets + securities + commodity derivatives. STRUCTURE: (1) SEBI CHAIRMAN — Mumbai; appointed by Government. (2) WHOLE-TIME MEMBERS (3-4) + Part-time members. (3) DEPARTMENTS: (a) Department of Intermediary Operations (DIO) — for broker/PMS/IA/RA registrations, (b) Department of Investment Management (DIM) — for AIFs + Mutual Funds + REITs/InvITs, (c) Department of Investment Banking (DIB) — for Merchant Bankers + IPO, (d) Office of Investor Assistance and Education (OIAE) — investor protection, (e) Department of Surveillance + Investigation, (f) Department of Securities Markets — overall market structure. (4) REGIONAL OFFICES: Northern (Delhi), Eastern (Kolkata), Western (Mumbai HQ), Southern (Chennai), Ahmedabad, Hyderabad, Bangalore — for regional supervision + investor grievances. (5) STOCK EXCHANGES (Subordinate authorities): (a) NSE (National Stock Exchange), (b) BSE (Bombay Stock Exchange), (c) MCX (Multi Commodity Exchange), (d) NCDEX (National Commodity & Derivatives Exchange), (e) MSEI (Metropolitan Stock Exchange) — register Brokers directly + ongoing supervision. (6) DEPOSITORIES: NSDL + CDSL — register Depository Participants. (7) AMFI (Association of Mutual Funds in India) — SRO for MF industry. (8) ASCI (Advertising Standards Council of India) — for ad compliance. (9) SAT (Securities Appellate Tribunal) — for appeals against SEBI orders. (10) ADJUDICATING OFFICERS at SEBI for penalty proceedings. NOT FSSAI / NOT MoEFCC / NOT MCA (though MCA coordination for company actions).
KEY PORTALS: (1) SEBI WEBSITE (sebi.gov.in) — primary; Regulations, Circulars, FAQ, Master Circulars. (2) SI PORTAL (SEBI INTERMEDIARY PORTAL) at intermediaryportal.sebi.gov.in — for applications: Stock Broker registration, Sub-Broker, Investment Adviser, Research Analyst, Merchant Banker, Portfolio Manager, AIF, FPI, DP, Custodian, CRA. (3) SCORES (SEBI Complaints Redress System) — scores.gov.in for investor complaints. (4) SAT (Securities Appellate Tribunal) — for appeals. (5) NSE Portal (nseindia.com) — broker registration with NSE. (6) BSE Portal (bseindia.com) — broker registration with BSE. (7) MCX Portal — for commodity derivatives broker. (8) NSDL + CDSL Portals — for DP registration. (9) AMFI Portal (amfiindia.com) — Mutual Fund industry data + AMC details. (10) MCA21 V3 — for entity incorporation. (11) FIU-IND — for PMLA compliance reporting. (12) NSWS (nsws.gov.in) — National Single Window integration. (13) BANKERS' Portals — for Net Worth verification + capital deployment. (14) PAN + AADHAAR portals — for KYC integration. (15) NPCI portals — for payment integration (Brokers + AMCs).
SEBI continuous regulatory evolution: (1) MUTUAL FUND PASS-THROUGH STATUS for passive funds — recent reforms; reduced AMC fees + transparency. (2) ALGORITHMIC TRADING — separate SEBI framework for retail algo + co-location + risk controls. (3) SOCIAL STOCK EXCHANGE Framework (2023) — Mumbai launched; for social enterprises raising capital; Social Impact Funds; Zero Coupon Zero Principal Bonds (ZCZP). (4) AIF REVISIONS — periodic refinement; PPM disclosures strengthened; performance benchmarking standardised. (5) IA Lite framework — for smaller Investment Advisers; reduced compliance burden. (6) FPI Categories revised; KYC streamlined; Press Note 3 (2020) restricts neighbouring country investments. (7) CYBER SECURITY FRAMEWORK 2023 — comprehensive; periodic audits; ISO 27001 + PCI-DSS for some. (8) DIGITAL PERSONAL DATA PROTECTION ACT 2023 implementation — significant impact on intermediary data practices. (9) NISM Series revisions — periodic curriculum updates; renewed certifications. (10) SCORES 2.0 — enhanced investor grievance platform. (11) T+1 SETTLEMENT — implemented for equities; T+0 piloted. (12) MERGED COMMODITY + EQUITY EXCHANGES — single regulatory framework. (13) IFSC (Gujarat International Finance Tec-City) — separate framework; emerging for international funds. (14) ESG INVESTING — disclosure framework strengthened. (15) DELTA EXCHANGE et al — derivatives expansion. (16) Crypto/Virtual Digital Assets — separate evolving framework via Finance Ministry.
No vague timelines. Here's the actual phase-wise breakdown for SEBI License (Broker / AIF / MF) in Rohru.
DETERMINE SEBI CATEGORY based on business model: Stock Broker (trading) / AIF (fund pooling) / Mutual Fund (retail public funds) / Portfolio Manager (HNI clients) / Investment Adviser (fee-based advisory) / Research Analyst (research reports) / Merchant Banker (IPO/issue) / FPI (foreign investment) / DP (depository services). ENTITY INCORPORATION: (1) Pvt Ltd or Public Ltd (SEBI intermediaries typically; AIF can be Trust/LLP/Company). (2) MoA + AoA specific to SEBI category. (3) For MF: separate sponsor entity + AMC + Trustee Company. (4) For AIF: Trust structure typical (Trust Deed) + Investment Manager (Pvt Ltd) + Trustee. CAPITAL BUILD-UP: Net Worth requirements per category: Stock Broker ₹1-3 Cr; AIF ₹20 Cr corpus + sponsor ₹5-10 Cr; MF ₹100 Cr Sponsor + ₹50 Cr AMC; PMS ₹5 Cr; IA ₹40-50 Lakh; RA ₹1-25 Lakh; MB ₹5 Cr; DP ₹100 Cr. PROMOTER + KEY PERSONNEL: Fit & Proper criteria; clean track record; required experience; NISM certifications: Stock Broker (NISM-VIII), PMS (NISM-V-A), IA (NISM-XA), RA (NISM-XV), MB (NISM-IX). STATUTORY AUDITOR engagement (Big-4 preferred for credibility).
COMPREHENSIVE FRAMEWORK: (1) BUSINESS PLAN — detailed: target segment, products/services, pricing, distribution, marketing, financial projections (5-year P&L + BS + CF). (2) PRINCIPAL OFFICER + COMPLIANCE OFFICER + IT INFRASTRUCTURE OFFICER appointment. (3) PRINCIPAL OFFICER QUALIFICATIONS: Post-graduate degree + 5+ years experience + NISM certification + Fit & Proper. (4) FOR AIF: Investment Strategy Document + Private Placement Memorandum (PPM — comprehensive disclosure to investors); Trust Deed; Investment Management Agreement; Custodial Agreement; Performance fee structure (typically 2/20 model — 2% Management + 20% Performance over Hurdle). (5) FOR MF: Sponsor + Trustee Company + AMC structure; Custodian agreement; SID (Scheme Information Document) + SAI (Statement of Additional Information) + KIM (Key Information Memorandum) for first scheme. (6) FOR BROKER: Stock Exchange membership applications (NSE/BSE/MCX/NCDEX); CTCL (Computer to Computer Link) infrastructure; Risk Management System (RMS); Margin policies. (7) FOR PMS: Investment Policy; Risk Management; Client Onboarding KYC; Disclosure Document (DD). (8) FOR IA: Fee Schedule + PII (Professional Indemnity Insurance ₹50 LAKH-₹1 CRORE); Fiduciary Code; Client Agreement format. (9) POLICIES: KYC + AML (PMLA 2002); Code of Conduct (Insider Trading 2015); Risk Management; Cyber Security; Business Continuity; Customer Grievance (SCORES integration); Whistleblower; Conflict of Interest. (10) IT INFRASTRUCTURE: Cyber Security per SEBI 2023 framework; ISO 27001; CERT-In audit; SOC2; Order Management System / Trading Platform / Portfolio Management System (per category).
APPLICATION + REVIEW: (1) APPLICATION SUBMISSION via SI PORTAL (intermediaryportal.sebi.gov.in) — Form A (category-specific); 20-50 page application + 30-100 supporting documents. (2) APPLICATION FEE — varies by category (Stock Broker ₹5-15 lakh; AIF ₹3-15 lakh; MF substantial; IA/RA ₹10K-1 lakh). (3) FOR STOCK BROKER — parallel application with Stock Exchange (NSE/BSE/MCX/NCDEX) + Depository (NSDL/CDSL). (4) SEBI ASSIGNMENT to department: DIO (Brokers/Intermediaries) / DIM (AIF/MF) / DIB (Merchant Bankers). (5) DOCUMENT SCRUTINY — 3-6 months typical; queries in tranches. (6) QUERIES + RESPONSES — typically 50-150 queries; each response 15-30 days; iterative. (7) NET WORTH + CAPITAL VERIFICATION — Statutory Auditor certificate + bank confirmation. (8) PROMOTER + PRINCIPAL OFFICER VETTING — Fit & Proper background; NISM verification; reference checks; experience verification. (9) FOR AIF — PPM thorough review; investment strategy analysis; investor protection check. (10) FOR MF — extensive scrutiny: Sponsor + Trustee + AMC + Custodian; Scheme review; Investor protection. (11) CRITICAL APPLICATIONS may face SEBI Board sub-committee review. (12) INSPECTION (some categories) — premises + systems + processes.
FINAL APPROVAL + LAUNCH: (1) SEBI BOARD/Committee approval. (2) REGISTRATION CERTIFICATE issued — Category-specific; conditional on continuing compliance. (3) FOR STOCK BROKER — Stock Exchange membership active; Base Capital deposit + Securities cover; CTCL approval; UCC code allotment; Trading commences post-system testing. (4) FOR AIF — First scheme can be launched; Trust Deed registered; first investor onboarding; PPM circulated. (5) FOR MUTUAL FUND — Trustee Company + AMC registered; First scheme launch — SID/SAI/KIM filed with SEBI; NFO (New Fund Offer) launched; AMFI registration; CRISIL/Morningstar tracking. (6) FOR PMS — first clients onboarded; investment management commences. (7) FOR IA — fee-only model operational; client agreements; PII active. (8) BANK + DEMAT ACCOUNTS — operational for trading/investment. (9) IT SYSTEMS — fully tested; cyber security audit refreshed. (10) COMPLIANCE TEAM operational. (11) MARKETING + DISTRIBUTION launch — within SEBI advertising guidelines. (12) INVESTOR EDUCATION + Awareness initiatives. (13) FIRST REPORTING CYCLE preparation — Half-yearly to SEBI + Annual + Quarterly returns.
POST-REGISTRATION OBLIGATIONS: (1) HALF-YEARLY DISCLOSURES to SEBI; ANNUAL audited reports; QUARTERLY reports (various). (2) NET WORTH MAINTENANCE — must exceed regulatory minimums always; breach triggers SEBI action. (3) NISM RE-CERTIFICATIONS — periodic renewals (3-5 year cycles depending). (4) STATUTORY + INTERNAL AUDITS — annual; FOR MF/AMC quarterly + concurrent; Internal Audit by qualified firm. (5) COMPLIANCE TESTING — monthly review of regulatory compliance. (6) KYC + AML — PMLA reporting (STR/CTR); FIU-IND; Customer Due Diligence ongoing. (7) GRIEVANCE REDRESSAL — SCORES integration; 30-day resolution; escalation to SEBI; investor protection paramount. (8) DISCLOSURE OBLIGATIONS — for Listed entities: LODR 2015 compliance; insider trading rules; trading window; UPSI handling. (9) FOR AIF — Quarterly Reports to SEBI; PPM revisions; Investor reporting; Fund accounting + valuation; Performance fee calculation; Auditor reports; Liquidation report at fund end. (10) FOR MF — Daily NAV calculation + publication; Scheme-specific reports; Risk-o-meter; SID/SAI/KIM updates; Investor education 2 bps of AUM mandatory. (11) BROKER — daily exchange reporting; risk monitoring; default management. (12) SEBI INSPECTIONS — periodic; risk-based; on-site; off-site surveillance. (13) ADJUDICATION PROCEEDINGS for violations — penalties + suspensions + cancellation possible. (14) APPELLATE — SAT (Securities Appellate Tribunal) for SEBI order appeals.
Most counsel quote one number. We show you what goes where, so there is nothing to discover later.
| Component | Amount | Note |
|---|---|---|
| Research Analyst (RA) - Individual | ₹99,999 – ₹2,49,999 | Lowest entry; NISM-XV + Form A |
| Research Analyst (RA) - Non-Individual | ₹1,49,999 – ₹3,99,999 | ₹25 LAKH Net Worth |
| Investment Adviser (IA) - Individual | ₹2,49,999 – ₹6,49,999 | NISM-XA + PII + ₹40 LAKH |
| Investment Adviser (IA) - Non-Individual | ₹2,99,999 – ₹7,49,999 | ₹50 LAKH Net Worth + PII |
| Portfolio Manager (PMS) | ₹4,99,999 – ₹14,99,999 | ₹5 CR Net Worth + comprehensive framework |
| Stock Broker (1 Exchange + Cash Equity) | ₹4,99,999 – ₹14,99,999 | ₹1 CR + Base Capital + CTCL + RMS |
| Stock Broker (Multi-Exchange + F&O + Currency) | ₹9,99,999 – ₹24,99,999 | NSE + BSE + MCX + Currency + Derivatives |
| AIF Cat I (Angel/VC/SME/Infra) | ₹9,99,999 – ₹19,99,999 | PPM + Trust setup + ₹20 CR corpus + sponsor |
| AIF Cat II (PE/Debt/Real Estate) | ₹9,99,999 – ₹24,99,999 | Standard PE/Debt fund setup |
| AIF Cat III (Hedge/PIPE) | ₹14,99,999 – ₹29,99,999 | Complex strategies; sponsor 5%+ |
| Merchant Banker | ₹9,99,999 – ₹24,99,999 | ₹5 CR Net Worth + IPO management |
| MUTUAL FUND (Full Setup - Sponsor+Trustee+AMC) | ₹49,99,999 – ₹1,49,99,999 | MOST COMPLEX; ₹100 CR Sponsor + ₹50 CR AMC; 18-24 months |
| MF First Scheme Launch (SID+SAI+KIM+NFO) | ₹14,99,999 – ₹49,99,999 | Separate from AMC registration |
| FPI Registration (through DDP) | ₹2,99,999 – ₹9,99,999 | For foreign investors; 30-60 days via DDP |
| Depository Participant (DP) | ₹14,99,999 – ₹34,99,999 | ₹100 CR Net Worth + NSDL/CDSL membership |
| Custodian | ₹9,99,999 – ₹29,99,999 | ₹50 CR Net Worth |
| STATUTORY AUDITOR (Net Worth + Annual) - pass-through | ₹2,99,999 – ₹24,99,999 | Big-4 preferred |
| CYBER SECURITY AUDIT (CERT-In empanelled) | ₹2,99,999 – ₹14,99,999 | Pass-through; periodic |
| NISM CERTIFICATIONS (per person) | ₹3,000 – ₹15,000 | Pass-through; multiple for team |
| PII Insurance (IA) | ₹2,00,000 – ₹15,00,000/year | Pass-through; ₹50 LAKH-1 CR coverage |
| IT INFRASTRUCTURE (CAPEX, pass-through) | ₹10,00,000 – ₹5,00,00,000 | Category dependent |
| STOCK EXCHANGE MEMBERSHIP (Broker) | ₹25,00,000 – ₹2,00,00,000 | NSE/BSE membership + Base Capital |
| SEBI APPLICATION FEES | ₹10,000 – ₹15,00,000 | Pass-through; category-specific |
| CAPITAL (Net Worth) | ₹1 LAKH – ₹100 CRORE+ | Business capital pass-through |
| ANNUAL COMPLIANCE | ₹4,99,999 – ₹1,99,99,999/yr | Returns + Audits + NISM renewals + grievance |
| NISM RE-CERTIFICATIONS (3-5 yr) | ₹15,000 – ₹50,000/person | Pass-through; periodic |
| SAT Appeal (Securities Appellate Tribunal) | ₹4,99,999 – ₹49,99,999 | For SEBI order appeals |
Total estimate from 249999 · final fee depends on entity size, document readiness, and city-specific stamp duty (see local jurisdiction above).
From hundreds of engagements, here are the patterns that cause founders and businesses to come back to us in distress. Avoid these and you've already won 70% of the matter.
Distinct registrations per category — Stock Broker / AIF / MF / PMS / IA / RA / MB / FPI / DP. Wrong category = wasted application + re-incorporation possibly. ANALYZE: customer (retail / HNI / sophisticated / foreign), product (advice / pooled / managed / brokering / research), capital availability, regulatory complexity tolerance.
Each category has specific Net Worth requirements (₹1 LAKH for RA Individual to ₹100 CR for MF Sponsor). UNDERCAPITALIZED entity rejected. Capital + reserves verified by Statutory Auditor; CRITICAL: distinguish PAID-UP capital from Net Worth (Net Worth = Capital + Reserves - Losses - Misc).
SEBI rigorously vets: Clean criminal record; No past SEBI/RBI penalties; No insolvency; No defaults in market dealings; Securities market history clean; Income tax compliance; Banking discipline. SINGLE adverse fact = rejection. PRE-SCREEN promoters + directors thoroughly.
PRINCIPAL OFFICER must have valid NISM certification specific to category (NISM-VIII Stock Broker, NISM-V-A PMS, NISM-XA IA, NISM-XV RA, NISM-IX MB). Validity 3-5 years; RENEWAL critical. Without valid NISM = application rejection.
SEBI 2023 cyber security framework mandates: ISO 27001 alignment, CERT-In empanelled audit, CISO appointment, BCP/DR, Vulnerability Assessment + Penetration Testing periodic, customer data protection. INVESTMENT ₹10 LAKH-5 CRORE. WITHOUT robust cyber = application delays or rejection.
Compliance Officer MANDATORY for most categories; NISM-XII certified; senior position; reports to Board. KYC + AML — PMLA compliance; Principal Officer + Designated Director; STR + CTR; risk-based customer due diligence. WEAK FRAMEWORK = rejection + future PMLA penalties.
PPM (Private Placement Memorandum) is MOST CRITICAL document for AIF — comprehensive disclosure to investors of strategy + risks + fees + governance + investor rights. WEAK PPM = SEBI rejection + investor lawsuits later. Engage experienced AIF lawyers. Standard structure: 50-150 pages.
MF Sponsor REQUIRES: (a) Financial services experience 5+ years, (b) Net Worth ₹100 Cr for 5 consecutive years, (c) Profitable for 3 of last 5 years, (d) Favourable reputation. SHORT TRACK RECORD = SEBI rejection. NEW entities cannot directly sponsor MF; must build track record first.
RIA (Registered Investment Adviser) MUST be fee-only — cannot earn commissions/brokerage from product distribution. Many former MF distributors transition to IA but violate this — disqualifies registration. STRICT segregation between Advisory + Distribution arms (separate entities + processes).
RESEARCH ANALYST cannot mix with broking arm freely; STRICT SEGREGATION mandated (separate offices, separate systems, separate personnel, no information flow). FAILURE = penalties + cancellation. Build organisational walls.
SCORES integration mandatory; 30-day resolution; escalation to SEBI for unresolved; PUBLIC TRANSPARENCY of grievance numbers. WEAK FRAMEWORK = SEBI penalties + reputational damage. Build robust internal redressal + SCORES escalation handling.
For Listed intermediaries OR those dealing in listed securities: PIT (Prohibition of Insider Trading) Regulations 2015 — Code of Conduct + Trading Window + UPSI handling; PFUTP Regulations 2003 — no fraud/manipulation. VIOLATIONS: heavy penalties + cancellation + criminal proceedings.
These are the signals — observed across the profession — that your money and matter are about to be handled poorly. We list them so you can vet anyone, including us.
Not the polished 5 — the 15 that come up in real consultations. Click any to expand.
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