INVESTMENT ADVISER REGULATIONS CASE STUDIES

Case Study 1: Rahul and Manisha are husband and wife, XYZ a company in which Manisha has a 25% stake, Finkart Pvt. Ltd. is an advisory firm and sister concern of Finkart Pvt. Ltd. is a distribution firm. Rahul is an existing client taking distribution services and Manisha is taking execution and advisory both.
Q.1 What is true according to the information given?

Question 2: What is true regarding sign up for Services?

Question 3: What is true regarding availing the advisory services?

Question 4: What is true regarding advisory services for PR Company?

Case Study 2: Nimesh and Shrestha are husband and wife,
PQR a Company in which Shreshtha has a 20% stake.
Fincorp Pvt. Ltd. is an advisory firm and the sister concern of Fincorp Pvt. Ltd. is a distribution firm?
Nimesh is an existing client taking distribution services and Nimesh is taking execution and advisory both.
What is true regarding availing the services?

Question 2: What is not true regarding fees charged by IA?

Question 3: What is true regarding choosing the option from advisory and distribution business?

Question 4: What is true about the general condition of fees charged to Nimesh and Shrestha?

Can someone continue to operate the account even after giving a power of attorney?