Portfolio Management Services (PMS) Registration in India

SEBI Registration | Compliance Support | Portfolio Management Authorizationy

PROBAY™ provides professional assistance for Portfolio Management Services (PMS) Registration in India, helping individuals and entities obtain authorization to offer portfolio management services to clients. Our experts assist throughout the registration process including documentation preparation, application filing, regulatory compliance, and interaction with the regulator.

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What is a Portfolio Management Services (PMS) Registration?

Portfolio Management Services (PMS) Registration is the license granted by SEBI to individuals or entities that provide portfolio management services to clients by managing their investments in securities.

Under the SEBI (Portfolio Managers) Regulations, 2020, a portfolio manager is a person or entity who manages funds or securities on behalf of clients in accordance with a portfolio management agreement.

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Portfolio management services allow professional management of investments with the objective of achieving financial growth while managing risks.

Key characteristics of a Portfolio Management Services (PMS) Registration include:


  • Mandatory registration with SEBI for providing portfolio management services
  • Compliance with SEBI regulations and guidelines
  • Management of client funds through discretionary or non-discretionary mandates
  • Maintenance of client agreements and portfolio records
  • Adherence to professional and ethical standards
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Obtaining registration ensures that portfolio managers operate within a regulated framework and maintain investor confidence.

Pricing & Plans

BASIC

  • Eligibility Assessment
  • Net Worth Assessment
  • Infrastructure & Compliance Check
  • Documentation Checklist
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STANDARD

  • Eligibility Assessment
  • Net Worth Assessment
  • Infrastructure & Compliance Check
  • Documentation Checklist
  • Application Drafting (Form A)
  • SEBI Registration Filing
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PREMIUM

  • Eligibility Assessment
  • Net Worth Assessment
  • Infrastructure & Compliance Check
  • Documentation Checklist
  • Application Drafting (Form A)
  • SEBI Registration Filing
  • Assistance in SEBI Queries / Clarifications
  • Post-Registration Compliance Advisory
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Who is Required to Obtain PMS Registration?

Registration is required for individuals and entities engaged in managing client investments in securities.

This includes:

  • Companies offering portfolio management services to investors

  • Financial institutions managing investment portfolios

  • Investment firms providing discretionary portfolio management

  • Firms providing non-discretionary portfolio management services

  • Asset management entities managing investment portfolios for clients

Any person or entity managing client funds or securities for a fee must obtain PMS registration from SEBI.

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Eligibility Requirements for PMS Registration

Applicants must meet certain eligibility conditions before applying for SEBI PMS registration.

These include:

  • Company/LLP/ Financial Institutions incorporated under applicable laws
  • Minimum net worth requirements as prescribed by SEBI i.e., 5 Crore.
  • Principal Officer must have possess relevant professional qualifications & have at least years of experience in financial markets, portfolio management, or securities analysis & must hold relevant certifications such as NISM certification
  • Experienced personnel
  • Adequate infrastructure and operational systems
  • Compliance framework and internal control policies
  • Fit and proper person criteria as prescribed by SEBI

Meeting these requirements ensures professional competency and regulatory compliance.

Benefits of Obtaining PMS Registration

Obtaining PMS Registration offers several advantages.

These include:

  • Legal authorization to provide portfolio management services
  • Increased credibility and trust among investors
  • Compliance with regulatory requirements
  • Ability to manage client investment portfolios professionally
  • Professional recognition in the financial services industry
  • Opportunities to expand asset and wealth management services
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Registration ensures that portfolio managers operate within a regulated and transparent framework.

Why Choose PROBAY™ for PMS Registration?

PROBAY™ provides professional assistance for individuals and businesses seeking SEBI Portfolio Management Services Registration.

Our services include:

Let PROBAY™ manage the legal process while you focus on growth.

  • Eligibility assessment and consultation
  • Preparation and filing of SEBI registration applications
  • Assistance with documentation and compliance requirements
  • Drafting compliance manuals and operational policies
  • Support in responding to SEBI queries
  • Guidance on ongoing regulatory compliance
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Our experienced professionals help ensure a smooth and efficient registration process.

Start Your PMS Registration Process

Providing portfolio management services requires proper regulatory approval and compliance with SEBI regulations. Obtaining PMS Registration helps establish credibility and ensures that investment management services are provided within a regulated framework.


Let PROBAY™ assist you with Portfolio Management Services (PMS) Registration in India and help you establish a compliant and professionally managed portfolio management business.