SEBI-registered Research Analysts operate under a detailed regulatory framework that requires ongoing compliance across multiple areas including audit trail maintenance, disclosure management, investor charter adherence, KYC verification, risk profiling, complaint resolution through SCORES, and periodic regulatory filings. Staying compliant is not optional — SEBI conducts inspections and can impose penalties, suspend registrations, or issue warnings for non-compliance. The SEBI RA Compliance Hub serves as a centralized resource center where Research Analysts can access the information, checklists, and guides they need to maintain compliance. The compliance checklist covers all major obligations: maintaining records of every recommendation and trade for the mandatory retention period, generating and delivering required disclosures alongside recommendations, meeting investor charter service standards and grievance resolution timelines, conducting client KYC verification and periodic re-verification, maintaining risk profiling documentation for each client, filing regulatory returns on time, and preparing for SEBI inspections. The regulatory timeline section outlines key compliance deadlines throughout the financial year, including filing dates for half-yearly reports, annual audit submissions, and investor charter updates. Inspection preparation guides detail what documentation SEBI inspectors typically request, how to organize records for review, and common compliance gaps that lead to observations or penalties. For Research Analysts using AlphaQuark, many of these compliance requirements are automated through the platform. Audit trails are maintained automatically for every recommendation and trade, disclosures are generated and delivered alongside portfolio updates, KYC verification workflows are digitized, and complaint tracking is integrated with SCORES. This resource hub complements the platform automation with educational content and reference materials.
A comprehensive checklist covering audit trail maintenance, disclosure management, investor charter requirements, KYC verification, risk profiling documentation, regulatory return filings, and record retention requirements. Use this checklist to verify your practice meets all SEBI obligations.
Key compliance deadlines throughout the financial year including half-yearly report submissions, annual audit filings, investor charter updates, and SEBI registration renewal dates. Missing deadlines can result in penalties or adverse observations during inspections.
Understand what documentation SEBI inspectors typically request, how to organize records for review, common compliance gaps that lead to observations, and best practices for maintaining inspection-ready documentation throughout the year.
AlphaQuark automates audit trail maintenance, disclosure generation, KYC workflows, and SCORES integration. Learn how platform automation reduces the manual compliance burden and keeps your practice inspection-ready at all times.