SEBI compliance is not optional — it is a legal requirement for every registered Research Analyst and Investment Adviser in India. The Research Analyst Regulations 2014 and Investment Adviser Regulations 2013 mandate that advisors maintain audit trails of all recommendations, document client consent for every trade, manage conflict-of-interest disclosures, conduct proper KYC verification, maintain investor charter compliance, and respond to grievances through the SCORES system. Failing to maintain these records can result in penalties, show-cause notices, or registration cancellation. AlphaQuark SEBI compliance software automates these requirements as part of your daily advisory workflow — not as a separate compliance exercise. Every model portfolio recommendation is logged with an immutable timestamp, rationale, and disclosure. Every trade executed through the platform is documented with order details, client consent records, and execution prices. The compliance module automatically generates audit trail reports that can be exported for SEBI inspections, annual compliance audits, or internal review. Digital KYC verification with Aadhaar and PAN validation ensures every client is properly onboarded with required documentation. Risk profiling questionnaires and electronic subscriber agreements are stored with timestamps. Disclosure management handles conflict-of-interest declarations, past performance disclaimers, and risk warnings as required by SEBI regulations. The platform supports both RA and RIA compliance frameworks, making it suitable for advisors holding either or both registrations. Grievance redressal documentation and SCORES integration ensure complaint handling meets regulatory standards. Over 100 SEBI-registered advisors trust AlphaQuark for their compliance needs.
Every recommendation, trade, and client interaction is logged with immutable timestamps. The platform generates audit trail reports suitable for SEBI inspections and annual compliance audits without manual record-keeping.
Digital KYC with Aadhaar and PAN verification, risk profiling questionnaires, electronic subscriber agreements, and consent capture ensure every client is onboarded with complete SEBI-required documentation.
Automated disclosure management handles conflict-of-interest declarations, past performance disclaimers, and risk warnings. All disclosures are timestamped and stored for regulatory review.
Generate compliance reports for annual audits, respond to SEBI queries with documented evidence, and handle investor grievances through SCORES integration. Both RA Regulations 2014 and IA Regulations 2013 are supported.