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…
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…
AI Tools in Investment Advisory SEBI Compliance Risks are becoming one of the most important concerns for Investment Advisors (IAs) and Research Analysts (RAs) in 2026. The rapid adoption of artificial intelligence in financial services has transformed how advisory businesses operate. Advisors now rely on AI tools to analyze data,…
The Indian financial market is growing very fast. Every day, more people invest in stocks, mutual funds, and trading platforms. This growth has created many opportunities, but it has also increased the risk of fraud, fake advisors, and misleading investment advice. To protect investors, SEBI has introduced strict regulations. One…
Are you an investment advisor in India? Do you want to make sure you are doing everything right under SEBI laws? The Securities and Exchange Board of India (SEBI) has made a special list of rules for Investment Advisors. This list is called the Code of Conduct. What is SEBI?…
