Are You Publishing Research Reports Without SEBI Registration?
That’s a fast track to penalties, suspension, and long-term reputational damage.
In today’s regulated financial ecosystem, SEBI registration is mandatory if you wish to work as a Research Analyst in India. SEBI (Securities and Exchange Board of India) has been cracking down on non-compliant individuals and firms, and the penalties can be severe.
Who Needs SEBI Registration as a Research Analyst?
You are required to register with SEBI if you are:
✅ An individual, LLP, or company offering research analysis
✅ A post-graduate/diploma holder from a UGC-recognized institution, OR
✅ A graduate with 5+ years of experience in financial services
✅ Holder of a valid NISM Series-XV Research Analyst Certification
Why SEBI Registration Matters
In recent months, SEBI has taken strict action against Research Analysts operating without proper registration. From hefty financial penalties to suspension of business activities, the consequences are serious and lasting.
Common Compliance Mistakes That Attract SEBI Action
❌ Providing research or investment recommendations without registration
❌ Not disclosing conflicts of interest or changes in business activities
❌ Failing to maintain records of research reports and client communications
❌ Ignoring KYC and onboarding protocols
❌ Making false promises or misrepresentations to clients
Stay Compliant, Stay Ahead
If you’re serious about building a trustworthy and scalable career as a Research Analyst, you must start with the right compliance framework.
Don’t cut corners. Instead, ensure you meet SEBI’s regulatory requirements from day one.
Need Help with SEBI Research Analyst Registration?
We assist individuals and companies in end-to-end SEBI registration and compliance services.
📞 Call us today for a free consultation: +91 93113 47006
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