SEBI-registered Research Analysts and Registered Investment Advisers operate under strict regulatory requirements that mandate detailed record-keeping, disclosure management, client KYC verification, and complaint resolution processes. AlphaQuark is built from the ground up to automate and simplify these compliance obligations. The platform maintains a complete, immutable audit trail for every recommendation, portfolio update, and trade executed through the system. Each action is timestamped and logged, creating a regulatory-ready record that can be produced during SEBI inspections or audits. Disclosure management is automated, generating the required disclosures for recommendations and ensuring they are delivered to subscribers alongside portfolio updates. The investor charter compliance module helps advisors meet the mandatory investor charter requirements specified by SEBI, including grievance resolution timelines and service standards. AlphaQuark integrates with the SCORES complaint management system, enabling advisors to track and respond to investor complaints within the regulatory framework. Client KYC management is handled digitally, with verification workflows, document storage, and periodic re-verification reminders. Risk profiling questionnaires are built into the onboarding process to ensure that advisory recommendations are suitable for each client risk appetite. On the security front, AlphaQuark employs data encryption for data at rest and in transit, role-based access controls for multi-advisor firms, and secure authentication protocols. The platform architecture is aligned with SOC-2 security standards. Regular security audits and vulnerability assessments are conducted to protect sensitive client and financial data. These compliance and security features are integrated into the core platform and are available across all pricing tiers, ensuring that every SEBI-registered advisor using AlphaQuark has access to the tools needed for regulatory adherence.
Every recommendation, portfolio update, and trade executed through the platform is timestamped and logged in an immutable audit trail. These records are regulatory-ready and can be produced during SEBI inspections or audits.
Automated disclosure generation for recommendations ensures required disclosures are delivered alongside portfolio updates. The investor charter module helps advisors meet SEBI-mandated service standards and grievance resolution timelines.
KYC verification workflows, document storage, periodic re-verification reminders, and risk profiling questionnaires are built into onboarding to ensure advisory recommendations match each client risk appetite.
Data encryption at rest and in transit, role-based access controls for multi-advisor firms, secure authentication protocols, and architecture aligned with SOC-2 security standards. Regular security audits protect sensitive financial data.