TaxTMI 
TaxTMI 
Periodic reporting format for Research Analysts and Proxy Advisers
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....egulation 14 of the RA Regulations. Consultative process for development of periodic reporting format 3. Based on the recommendations received from Industry Standards Forum ("ISF") for RAs (including PAs), a consultation paper on 'Periodic reporting format for Research Analysts and Proxy Advisers' was published on August 9, 2024 and was open for public comments till August 30, 2024. Pursuant to public consultation and further discussions with industry participants, the periodic reporting formats for Ras and PAs are provided at Annexure I and Annexure II respectively. Periodicity and timeline of reporting 4. RAs shall submit their periodic report to RAASB and PAs shall submit their periodic reports to SEBI. The periodic reports shall be submitted by RAs/PAs within 30 days from the last date of the reporting period. 5. RAs/PAs shall submit periodic report for half-yearly periods ending on September 30 and March 31 of every financial year. The first reporting period shall be half-yearly period ending on March 31, 2025 and reports thereof shall be required to be submitted by April 30, 2025. Hence, a time of around six months has been provided to RAs and PAs for submissio....
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....loyees as on last date of the reporting period 15 Official Website Address 16 Details of Social Media Handles as an RA (provide details for all such platforms) Facebook Twitter Others (Please specify) Social Media Type (e.g. Facebook, LinkedIn, Instagram etc.) Name of Account /Page/Channel, etc. 17 Provide Details of Bank accounts used for receiving fees from clients (provide details of all such bank accounts) Bank Account-1 Bank Account-2 Bank Account-3 Name as per Bank Account Account No. Type of account IFSC Code Bank Name Bank Branch Name 18 Details of Contact Person Name Date of Birth (DD/MM/YYYY) Mobile Email id 19 Details of Compliance Officer Name Date of Birth (DD/MM/YYYY) ....
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.... Details of Advertisements issued Number of Advertisements issued during the half year period Number of Advertisements approved by RAASB during the half year period 27 Publishing of Complaints and Investor Charter Whether complaints data have been updated on the website of the RA or in absence of website, communicated to clients by 7th of the succeeding month for each month of the half year period (Yes/No) Whether Investor Charter has been published on the website of the RA or in absence of website, communicated to clients (Yes/No) 28 Number of Research Reports published during the period (includes Buy/Sell/Hold recommendation) 29 Aggregate number of public appearances made by the RA/ its Director/analyst during the period Table-2 Details of the complaints against Research Analyst (RA) for the Half Year ended on ..................(DD/MM/YYYY)....
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....(F) 1 Number of clients at the end of the previous half yearly period (i) 2 Number of clients acquired during the period (ii) 3 Number of client relationships that ended during the period (iii) 4 Number of clients at the end of the period (iv = i + ii - iii) 5 Details of Fees collected (in Rs.) *In case, research services are provided as free for all as value added service to clients of other services offered by the entity viz. stock broking, PMS etc., the details sought in Table-3 need not be submitted. Annexure II Periodic Reporting Format for Proxy Advisers (PA) Details of Proxy Adviser (PA) for the Half year ended on ..................(DD/MM/Y....