Pension Fund Regulatory and Development Authority (Retirement Adviser) Regulations, 2016
Central Regulations · 201340 provisions
The enactment
| Type | Regulations |
|---|---|
| Year | 2013 |
| Jurisdiction | Central |
| Ministry | Ministry of Finance |
| Status | In force as published by the source |
| Provisions published | 40 |
| Subjects | financial, local |
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- Section 1 Short title and commencement
- Section 2 Definitions
- Section 3 Application for grant of certificate
- Section 4 Exemption from registration
- Section 5 Furnishing of further information, clarification and personal representation
- Section 6 Consideration of application and eligibility criteria
- Section 7 Qualification and certification requirement
- Section 8 Security Deposit
- Section 9 Grant of certificate of registration
- Section 10 Period of validity of certificate
- Section 11 Renewal of certificate
- Section 12 Procedure where registration is refused
- Section 13 Conditions of certificate
- Section 14 Suspension and Cancellation of Certificate of Registration
- Section 15 Fees to be charged by the Retirement Adviser
- Section 16 Recognition of body or body corporate for monitoring of retirement advisers
- Section 17 General responsibility
- Section 18 Scope of Work
- Section 19 Risk profiling
- Section 20 Disclosures to prospects/subscribers
- Section 21 Maintenance of records
- Section 22 Appointment of compliance officer
- Section 23 Redressal of grievances
- Section 24 Segregation of execution services
- Section 26 Notice before inspection
- Section 27 Obligation of retirement adviser on inspection
- Section 28 Submission of report to the Authority
- Section 29 Action on the inspection report
- Section 30 Cancellation or suspension of certificate of registration
- Section 31 Effect of suspension or cancellation or withdrawal of certificate of registration
- Section 32 Appointment of designated authority
- Section 33 Issuance of notice
- Section 34 Reply by noticee
- Section 35 Action in case of default
- Section 36 Procedure for action on recommendation
- Section 37 Intimation of order
- Section 38 Penalty and adjudication
- Section 39 Appeals to Securities Appellate Tribunal
- Section 40 Power of the Authority to issue clarifications etc
- Section 41 Power of the Authority over entity recognized under regulation 16
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