PORTFOLIO MANAGER REGISTRATION

Regulatory knowledge and understanding of portfolio manager registration compliances is a must for navigating the Indian rules. While offering comprehensive services towards obtaining approvals from Securities and Exchange Board of India (SEBI) without the need for navigating the complex steps associated with approvals, we take off the burden of portfolio manager registration by bringing its service to you.

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Service Overview

We carry out all phases of portfolio manager registration beginning with documentation, compliance advice, and liaison with regulatory authorities. We aim to enable smooth registration so you can focus on value-added core activities.

‍Challenges of Filing for a Private Limited Company

Complex Procedures

The formation of the private limited company is quite complex as it requires many legal formalities.

Time-Consuming

Sometimes, its exhausting to gather all the necessary papers and fill out all necessary documents.

Share Limit

In a Private Limited Company there is a limit of 200 shareholders, with a restricted limit on share transfers.

Business Commencement

Within 180 days of registering a Private Limited Company, the certificate of commencement of business must be obtained.

‍Challenges of Portfolio Manager Registration

Complex Regulatory Requirements Navigation

Regulating the detailed SEBI regulations is complicated and requires thorough technical knowledge and attention to detail.

Ensuring Full Documentation Conformance

Complete and correct documentation will guarantee the successful registrations; failure or deficiency concerning them may cause delays and rejection.

Adherence to Minimum Net worth Qualification

All the applicants will have to meet the SEBI requirements as regards net worth as maintained continuously for a proper financial planning and management.

Compliance with Rigid Compliance Requirements

The respondent should continue complying with all regulations of SEBI all through to avoid penalties and registration being invalidated.

Advantages of Portfolio Manager

Expert Guidance

Receive professional- assistance throughout the registration process, ensuring all requirements are met efficiently.

Time Efficiency

Streamline the registration process allowing you to commence operations without unnecessary delays.

Regulatory Compliance

Ensure compliance with all SEBI regulations so that the risk of penalties is reduced.

Custom Solutions

The services will be customised according to your objectives and need serving exclusively for your business.

Service Process

01

Eligibility and Structure Review

We start by reviewing your business structure, financial standing, and experience criteria to determine your eligibility for portfolio manager registration.

02

Documentation

Help prepare and organize all necessary documents for the application.

03

Net Worth Validation

Ensure that your business meets SEBI’s net worth criteria and assist in preparing supporting financial documentation.

04

Final Application

Submit the completed application to SEBI on your behalf.

05

Regulatory Compliance

Coordinate with SEBI to address any queries or additional information requests.

06

Post-registration Support

Provide ongoing assistance to ensure continued compliance with regulatory requirements.

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Service Process

Consultation

We will have a consultation regarding your business vision and requirements to decide on whether the private limited company fits you well.

Documentation

We will help you to do the paperwork involving preparation of the Memorandum of Association and Articles of Association.

Registration

We will then forward all the necessary documents to the Registrar of Companies as required for registration.

Support

We will always be here with you to offer assistance and advice so that you can efficiently run your private limited company.

Compliance:

We will assist you in maintaining a continuing compliance with all legal and regulatory standards.

Service Process

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Service Breakdown

Eligibility

Educational and Professional Qualifications: The applicant must hold a degree in finance, economics, or related fields with significant industry experience in portfolio management.

Minimum Net Worth Requirement: A minimum net worth, typically ₹2 crore, is mandatory for registration, ensuring financial stability to manage client funds.

Registered Business Entity: Only legally registered companies, LLPs, or sole proprietorships involved in financial services are eligible for registration.

Regulatory Compliance Adherence: Entities must adhere to the rules and guidelines laid down by SEBI to qualify for portfolio manager registration.

Documents

Company Incorporation Certificate: Proof of business registration with SEBI regulations.

Net Worth Certificate: At least ₹5 crores minimum capital as per SEBI norms.

KYC of Directors & Fund Managers: PAN, Aadhaar, and work experience details of financial professionals.

Detailed Business Plan: Outlining the portfolio management strategies and client handling policies.

Who Needs

Investment professionals and advisors: Portfolio manager registration is needed to operate lawfully and effectively for individuals or firms managing client investments or preparing specific financial advice for customers.

Wealth management companies: Companies that have high-net-worth individual clients concerning the appointment of personalized financial advisory and portfolio management, must register to submit to the regulation together with transparency.

Independent Portfolio Managers: Professionals managing individual client portfolios independently require registration to build trust and access wider market opportunities.

Startup Financial Services: Newly entered the area of portfolio management business needs registration to gain credibility and work under the regulated framework into which it has been created.

Creating Trust-Driven Relationships

JR Compliance is one of the known name for BIS certification, they are well versed with processes
and guide client properly.

Kartik Shah

Published on 4 March 2024

We have outsourced the entire BIS certification responsibility of our panels to JR compliance since 2017 and their service so far has been
exemplary.

K Narayanan

Published on 4 March 2024

We have been using JR Compliance services since last 3 years on various BIS related registration & testing of our various IT & electronic products. We really appreciate your full-fledged & excellent support in all respect in this matter.

P N Dhawanjewar

Published on 4 March 2024

FAQ

Services

For Portfolio Manager Registration what is the minimum net worth needed?

The individual or company has to maintain a net worth of at least ₹5 crore through out to be eligible for the SEBI portfolio manager registration.

How long is the registration certificate valid?

The registration certificate remains valid unless suspended or canceled by SEBI. Renewal is required every three years, with the applicable fee.

What fees are associated with the registration process?

Applicants must pay a non-refundable application fee of ₹1 lakh and a registration fee of ₹10 lakh upon approval.

Can individuals apply for portfolio manager registration?

No, only corporate entities are eligible to apply for SEBI portfolio manager registration.

What qualifications are required for key personnel?

The principal officer must have a postgraduate or professional qualification in finance, law, accounting, or business management, with at least ten years of relevant experience.