Research Analyst regulation consolidates SEBI circulars and mandates compliance, disclosure, reporting and prior-approval procedures for key changes SEBI's Master Circular consolidates all circulars for Research Analysts, rescinds listed circulars as applicable while preserving prior actions, and prescribes key obligations: procedural rules for proxy advisors (voting policy, methodology disclosure, client/company sharing, conflict disclosures), grievance redress mechanisms including publication of an Investor Charter and monthly complaint data via SCORES, CERT-In SaaS advisory compliance with half-yearly undertakings, FATCA/CRS due diligence, mandatory annual compliance audits, prior-approval process for change in control via the SI Portal, an advertisement code with required disclosures and prohibitions, and comprehensive outsourcing and conflict of interest controls.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Research Analyst regulation consolidates SEBI circulars and mandates compliance, disclosure, reporting and prior-approval procedures for key changes
SEBI's Master Circular consolidates all circulars for Research Analysts, rescinds listed circulars as applicable while preserving prior actions, and prescribes key obligations: procedural rules for proxy advisors (voting policy, methodology disclosure, client/company sharing, conflict disclosures), grievance redress mechanisms including publication of an Investor Charter and monthly complaint data via SCORES, CERT-In SaaS advisory compliance with half-yearly undertakings, FATCA/CRS due diligence, mandatory annual compliance audits, prior-approval process for change in control via the SI Portal, an advertisement code with required disclosures and prohibitions, and comprehensive outsourcing and conflict of interest controls.
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