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Corporate Laws Central Ministry of Finance Securities and Exchange Board of India Act, 1992

Usage of brand name/trade name by Investment Advisers (IA) and Research Analysts (RA)

06-Apr-2023 | SEBI/HO/MIRSD/ MIRSD-PoD-2/P/CIR/2023/52

SEBI has issued a circular for the usage of brand name/trade name by Investment Advisers (IA) and Research Analysts (RA), effective from 1st May 2023.
By virtue of this, investment advisers and researchers are advised to follow certain instructions for the usage of brand name/trade name/logo:
1. The information such as the name of the IA/RA as registered with SEBI, its logo, its registration number, and complete address with telephone numbers shall be prominently displayed on the portal/website.
2. The name, telephone number, and e-mail address of the grievance officer or the grievance redressal cell shall be displayed prominently in statements or reports, or any other form of correspondence with the client.
3. Disclaimer that the Registration granted by SEBI, membership, and certification in no way guarantee the performance of the intermediary or provide any assurance of returns to investors shall be mentioned on the portal/website.
4. SEBI logo shall not be used by IA/RA.

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