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SEBI Compliance

25 articles found

From Individual to Non-Individual RA/IA: Structuring the Transition Smoothly SEBI Compliance

From Individual to Non-Individual RA/IA: Structuring the Transition Smoothly

Many Research Analysts and Investment Advisers begin as individuals. It is efficient, cost-effective, and quick to set up.

Aug 01, 2026 Read More
What Good Compliance Looks Like in Day-to-Day Operations SEBI Compliance

What Good Compliance Looks Like in Day-to-Day Operations

Ask most Research Analysts or Investment Advisers what compliance feels like, and you’ll hear words like documentation, deadlines, audits, and forms

Aug 01, 2026 Read More
Segregation of Activities Within Group Structures: Getting It Right Without Disrupting Business SEBI Compliance

Segregation of Activities Within Group Structures: Getting It Right Without Disrupting Business

As Investment Advisers and Research Analysts scale their businesses, many naturally operate within group structures—with entities or individuals handling advisory, distribution, technology, marketing, or execution. SEBI does not prohibit such …

Aug 01, 2026 Read More