All Posts

If you've scrolled through Instagram, YouTube, or Telegram lately, you've probably come across someone going "live" with a trading screen open — calling out buy and sell signals in real time, promising to teach you the market as it moves. SEBI just put out a press release (PR No. 48/2026, dated August 17, 2026) making it unmistakably clear: this practice is not allowed, and it never really was. Compliancify Consulting breakdown the entire press release and related circulars,

Image by vectorjuice on Freepik SEBI recently has mandated the accessibility audit of digital platforms of registered intermediaries. There are few IAAP auditors available to do the audit and hence the cost of audit including remediation is very high. This makes the situation worse for Individual research analyst and Investment advisers. As they say, every tight or tough regulation generally leads to cheaper workaround. Same is the current situation where many workarounds a

Source: https://www.freepik.com Research Analyst ("RA") / Investment adviser ("IA") Inspections are essential part of SEBI operations to ensure regulatory checks and balances in intermediaries eco system. Regulatory Provisions Chapter IV of both SEBI IA Regulations, 2013 and SEBI RA Regulations, 2014 refer to regulations that give power to SEBI to inspect books of accounts, records and documents related to IA or RA. Before Inspection SEBI may or may not serve notice of Inspe

Source: https://www.freepik.com As the heading states that in this article we are going to explore the impact of Digital Personal Data protection Act on SEBI registered research analysts and Investment advisers. Before we start, it is essential to understand few key terms under the Act in simpler terms Data Principals - It means individual with whom personal data belongs. In case of a child and person with disability, it includes lawful guardian. ( For SEBI RA/IA, it means t

SEBI vide its amendment dated 16th Dec 24 in SEBI RA Regulations, 2014 and further vide its circular SEBI/HO/MIRSD/ MIRSD-PoD-1/P/CIR/2025/004 dated 8th Jan 25 had made it mandatory for research analyst to do KYC of fee paying clients. The amendment dated 16th Dec 24 to SEBI RA regulations, 2014 has included KYC as mandatory books of records under regulation 25 (1). What is the logic behind making KYC important ? I divide answer to this question in two parts PART 1 : The logi