How to do Research Analyst SEBI registration
Learn with Rohit Tendulkar
8 modules
english
Lifetime access
Navigate the SEBI registration process with ease and ensure compliance as a research analyst
Overview
In this course, you will learn everything you need to know about obtaining SEBI registration as a Research Analyst. We will cover the entire process in a step-by-step manner, guiding you through the application requirements, documentation, eligibility criteria, and key regulations set forth by the Securities and Exchange Board of India (SEBI). You will gain a comprehensive understanding of the responsibilities and obligations that come with being a registered Research Analyst under SEBI guidelines. We will also delve into the importance of compliance, code of conduct, and best practices to ensure that you maintain regulatory standards and build credibility in the financial markets. By the end of this course, you will be well-equipped with the knowledge and tools necessary to successfully apply for SEBI registration as a Research Analyst. Whether you are an aspiring analyst, a finance professional, or a researcher looking to enhance your skills and compliance within the industry, this course will provide you with valuable insights and practical guidance to navigate the registration process effectively.
Key Highlights
Understanding SEBI regulations for research analysts
Step-by-step guide to SEBI registration process
Compliance standards and best practices
Documentation requirements and submission guidelines
What you will learn
Enhanced Regulatory Knowledge
Develop a comprehensive understanding of SEBI regulations and compliance standards for research analysts.
Step-by-Step Guidance
Receive detailed instructions on the SEBI registration process, from eligibility criteria to documentation requirements.
Best Practices and Compliance
Learn about the best practices for maintaining compliance with SEBI regulations and guidelines for research analysts.
Modules
Introduction
5 attachments
Overview of Securities market
5 pages
About the author
1 page
About the book
2 pages
Research analyst meaning
3 pages
Research report
3 pages
Registration Process
6 attachments
Eligibility for application
12 pages
Process Flow
8 pages
Consideration of application by SEBI
4 pages
Documents, Certificates & Declarations required for registration
33 pages
Making an application with SEBI
8 pages
Annexure
22 pages
Compliance - Regulatory & Supervisory
6 attachments
Code of conduct
2 pages
Appointment of compliance officer
1 page
Establishing Internal policies and procedures
1 page
Maintenance of Records & Compliance Audit
1 page
Redressal of investors grievances
1 page
Boards right to inspect
3 pages
Research analyst Post Registration
8 attachments
Limitations on trading by research analyst
4 pages
Recommendations in public media
2 pages
Contents of research report
1 page
Disclosures in research reports by research analyst or research entity
4 pages
Limitations on publication of research report, public appearance and conduct of business etc.
8 pages
Compensation of research analyst
2 pages
Website, Trademark, Brand name and Logo of a Research analyst
8 pages
Advertisement by a research analyst
6 pages
Declarations and Annexures - Individual
17 attachments
DETAILS OF ACTIVITIES OF APPLICANT
DETAILS OF PROPOSED RESEARCH ACTIVITIES
INTERNAL POLICY AND PROCEDURES
ANY OTHER INFORMATION
STANDARD DISCLOSURE
WRITE UP ON ACTIVITIES OF CLIENT
Adhar consent letter
BASL_GST_Declaration_Customer
Declaration compliance with regulation 7
Declaration compliance with regulation 7(2)
Declaration compliance with chapter 3
Declaration compliance with adquate infrastructure
Declaration fit and proper person
Declaration not registered as authorised person with Stock exchange
Declaration pending disputes last 5 years
Infrastructure Facilities details
NOC
Updates and Changes
5 attachments
Precautions by a SEBI registered Research analyst
3 pages
SEBI registered Research analyst will be Liable for action by SEBI if
1 page
Change of control
8 pages
Principals for out sourcing
7 pages
Changes in name, address and contact details
1 page
FAQs, MD and RA Regulation
3 attachments
FAQs
25 pages
Master Directions Research Analyst
53 pages
SEBI (Research Analyst) Regulation
26 pages
Action on registered research analyst or research entity by SEBI
3 attachments
Boards right to inspect
3 pages
Action by the inspecting authority
1 page
Action by the board on the inspection report
1 page
FAQs
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About the creator
Learn with Rohit Tendulkar
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