When you run a Registered Investment Adviser (RIA) or Research Analyst (RA) practice in India, you follow SEBI’s rulebook every single day. In 2025, SEBI rewrote many pages of that book, raising net-worth bars, tightening record-keeping, and setting sharper deadlines. Top 10 Compliance Mistakes RIA & RA Are Making After…
Data Retention & Record-Keeping Rules for RIA & RA in 2026 have become one of the most important compliance areas for Investment Advisors (RIAs) and Research Analysts (RAs). In 2026, SEBI has increased its focus on documentation, audit trails, and digital record-keeping to ensure transparency and investor protection. Every advisory…
SEBI Compliance Audit for RIA and RA 2026 Checklist is one of the most important things every Investment Advisor (RIA) and Research Analyst (RA) must understand before facing a regulatory inspection. In 2026, SEBI audits have become more structured, more frequent, and more detailed, especially with the involvement of IAASB…
Role of IAASB and RAASB in 2026 has become a major area of focus for Investment Advisers (IAs) and Research Analysts (RAs) in India. SEBI has strengthened its regulatory framework by delegating supervisory responsibilities to stock exchanges like BSE through specialized bodies known as IAASB (Investment Adviser Administration and Supervisory…
Are You Violating SEBI Fee Rules RIA Pricing Risks is a serious question every Investment Advisor (RIA) must ask in 2026. With SEBI tightening compliance around advisory fee structures, many advisors are unknowingly operating in violation of fee regulations. Fee models that once seemed normal are now being closely monitored.…
Dual Registration RIA RA SEBI Compliance Rules have become a critical topic in 2026 as financial professionals aim to expand their services by operating as both Investment Advisors (RIAs) and Research Analysts (RAs). While this dual structure allows advisors to offer both personalized advisory services and research-based insights, it also…
RIA & RA Website Compliance in 2026 has become one of the most important regulatory areas for Investment Advisors (RIAs) and Research Analysts (RAs) in India. With the rise of digital advisory platforms, SEBI is now closely monitoring websites to ensure that investors receive accurate, transparent, and complete information before…
Model Portfolios for Research Analysts SEBI Compliance Checklist has become a crucial topic in 2026 as SEBI continues to tighten rules around transparency, investor protection, and advisory practices. Research Analysts (RAs) often use model portfolios to showcase investment strategies, but many fail to understand that these portfolios can fall under…
