THE GAZETTE OF INDIA — THE SECURITIES AND EXCHANGE BOARD OF INDIA ACT, 1992

THE GAZETTE OF INDIA EXTRAORDINARY PART III SECTION 4 PUBLISHED BY AUTHORITY NEW DELHI, JANUARY 21, 2013 SECURITIES AND EXCHANGE BOARD OF INDIA NOTIFICATION st Mumbai, the 21S January, 2013 SECURITIES AND EXCHANGE BOARD OF INDIA (INVESTMENT ADVISERS) REGULATIONS; 2013 No. LAD-NRO/GN/2012-13/31/1778.-In exercise of the powers conferred by sub-section (1) of Section 30 read with clause (b) of sub-section (2) of Section 11 of the Securities and Exchange Board of India Act; 1992 (15 of 1992), the Securities and Exchange Board of India hereby, makes the following regulations, namely, CHAPTERI PRELIMINARY Short title and commencement: 13 These regulations may be called the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013. 2) These regulations shall come into force on the ninetieth day from the date of their publication in the Official Gazette. Definitions. 2 Inthese regulations, unless the context otherwise requires, the terms defined herein shall bear the meanings assigned to them below, and their cognate expressions shall be construed accordingly; ~Act" means the Securities and Exchange Board of India Act; 1992 (15 of 1992); "Board" means the Securities and Exchange Board of India established under section 3 of the Act; "body corporate' shall have the meaning assigned to it in or under sub-section (Z)of section 2 of the Companies Act; 1956 (1 of 1956); "certificate" means a certificate of registration granted under these regulations; "change in control" in relation to a company O body corporate, means: if its shares are listed on any recognized stock exchange, change in control within the meaning of clause (e) of sub-regulation (1) of regulation 2 of the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Re