Research analyst regulation consolidates registration, disclosure, client segregation and RAASB supervision for strengthened compliance. The master circular consolidates SEBI guidance for Research Analysts, prescribing registration and NISM certification requirements, deposit and fee rules, client level segregation, disclosure of terms (including MITC) and mandatory KYC and recordkeeping, annual compliance audits with public disclosure of adverse findings, model portfolio and AI use disclosure obligations, cybersecurity and SaaS advisories, procedures for prior approval of change in control, an advertisement code, outsourcing principles, and operational supervision via an enlisted RAASB with specified reporting and grievance redressal mechanisms.
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Research analyst regulation consolidates registration, disclosure, client segregation and RAASB supervision for strengthened compliance.
The master circular consolidates SEBI guidance for Research Analysts, prescribing registration and NISM certification requirements, deposit and fee rules, client level segregation, disclosure of terms (including MITC) and mandatory KYC and recordkeeping, annual compliance audits with public disclosure of adverse findings, model portfolio and AI use disclosure obligations, cybersecurity and SaaS advisories, procedures for prior approval of change in control, an advertisement code, outsourcing principles, and operational supervision via an enlisted RAASB with specified reporting and grievance redressal mechanisms.
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