SEBI & Securities: Current Action Guides

Reviewed by Finin2min Editorial Desk · Last reviewed 4 September 2026

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SEBI Accredited Investor Consultation 2026: What Manager-Led Accreditation Could Change

For **SEBI Accredited Investor Consultation 2026**, fix the event date and **regulatory applicability** first. Reconcile **client eligibility and suitability** to the **client KYC and classification**, then execute the filing, payment, investment, claim, contract or system step only after **asset/cash/position reconciliation** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Manager-Led Accredited Investor Status: Policy, Records and Independent-Oversight Readiness

For **Manager-Led Accredited Investor Status**, fix the event date and **operative-versus-proposal status** first. Reconcile **conflict and disclosure controls** to the **investment mandate / agreement**, then execute the filing, payment, investment, claim, contract or system step only after **implementation evidence** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Three-Year Accredited Investor Validity Under the Same Manager: SEBI Proposal Explained

For **Three-Year Accredited Investor Validity Under the Same Manager**, fix the event date and **client eligibility and suitability** first. Reconcile **asset/cash/position reconciliation** to the **compliance approval note**, then execute the filing, payment, investment, claim, contract or system step only after **regulatory applicability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Accredited Investor Securities-Market-Asset Test: How the Proposed Eligibility Screen Would Work

For **Accredited Investor Securities-Market-Asset Test**, fix the event date and **conflict and disclosure controls** first. Reconcile **implementation evidence** to the **portfolio or depository statement**, then execute the filing, payment, investment, claim, contract or system step only after **operative-versus-proposal status** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

₹5 Crore Securities-Market-Asset Test for Individual Accredited Investors: SEBI Consultation Guide

For **₹5 Crore Securities-Market-Asset Test for Individual Accredited Investors**, fix the event date and **asset/cash/position reconciliation** first. Reconcile **regulatory applicability** to the **system/UAT and communication archive**, then execute the filing, payment, investment, claim, contract or system step only after **client eligibility and suitability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

₹20 Crore Securities-Market-Asset Test for Body Corporates: Accredited Investor Proposal

For **₹20 Crore Securities-Market-Asset Test for Body Corporates**, fix the event date and **implementation evidence** first. Reconcile **operative-versus-proposal status** to the **SEBI circular or consultation**, then execute the filing, payment, investment, claim, contract or system step only after **conflict and disclosure controls** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Person Resident Outside India as Deemed Accredited Investor: SEBI Proposal and Onboarding Controls

For **Person Resident Outside India as Deemed Accredited Investor**, fix the event date and **regulatory applicability** first. Reconcile **client eligibility and suitability** to the **client KYC and classification**, then execute the filing, payment, investment, claim, contract or system step only after **asset/cash/position reconciliation** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

FPI as Deemed Accredited Investor: KYC, Classification and Manager-Control Implications

For **FPI as Deemed Accredited Investor**, fix the event date and **operative-versus-proposal status** first. Reconcile **conflict and disclosure controls** to the **investment mandate / agreement**, then execute the filing, payment, investment, claim, contract or system step only after **implementation evidence** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

LLP Accredited Investor Eligibility: Proposed Look-Through of Partner Assets

For **LLP Accredited Investor Eligibility**, fix the event date and **client eligibility and suitability** first. Reconcile **asset/cash/position reconciliation** to the **compliance approval note**, then execute the filing, payment, investment, claim, contract or system step only after **regulatory applicability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Wholly Owned Subsidiary Accredited Investor Status: Proposed Parent Net-Worth Route

For **Wholly Owned Subsidiary Accredited Investor Status**, fix the event date and **conflict and disclosure controls** first. Reconcile **implementation evidence** to the **portfolio or depository statement**, then execute the filing, payment, investment, claim, contract or system step only after **operative-versus-proposal status** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Accreditation Agency vs Manager-Led Accreditation: Control Design Under SEBI’s 2026 Proposal

For **Accreditation Agency vs Manager-Led Accreditation**, fix the event date and **asset/cash/position reconciliation** first. Reconcile **regulatory applicability** to the **system/UAT and communication archive**, then execute the filing, payment, investment, claim, contract or system step only after **client eligibility and suitability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

Accredited Investor Onboarding Under a Manager Policy: Evidence, Conflicts and Revalidation Checklist

For **Accredited Investor Onboarding Under a Manager Policy**, fix the event date and **implementation evidence** first. Reconcile **operative-versus-proposal status** to the **SEBI circular or consultation**, then execute the filing, payment, investment, claim, contract or system step only after **conflict and disclosure controls** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P0 — latest/current

SCORES Complaint Pending Beyond Three Months: Investor Evidence and Escalation File

For **SCORES Complaint Pending Beyond Three Months**, fix the event date and **regulatory applicability** first. Reconcile **client eligibility and suitability** to the **client KYC and classification**, then execute the filing, payment, investment, claim, contract or system step only after **asset/cash/position reconciliation** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

SCORES Complaint Closed but Issue Unresolved: Review, ODR and Further-Remedy Checklist

For **SCORES Complaint Closed but Issue Unresolved**, fix the event date and **operative-versus-proposal status** first. Reconcile **conflict and disclosure controls** to the **investment mandate / agreement**, then execute the filing, payment, investment, claim, contract or system step only after **implementation evidence** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

SEBI ODR Direct Conciliation from SCORES: Investor-to-Intermediary Workflow

For **SEBI ODR Direct Conciliation from SCORES**, fix the event date and **client eligibility and suitability** first. Reconcile **asset/cash/position reconciliation** to the **compliance approval note**, then execute the filing, payment, investment, claim, contract or system step only after **regulatory applicability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

AIF Investor Choosing a Dispute Route Outside ODR: Consent, Documentation and Governance

For **AIF Investor Choosing a Dispute Route Outside ODR**, fix the event date and **conflict and disclosure controls** first. Reconcile **implementation evidence** to the **portfolio or depository statement**, then execute the filing, payment, investment, claim, contract or system step only after **operative-versus-proposal status** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Portfolio Manager Dealing-Room Relaxation for Fewer Than 10 Clients or AUM Below ₹100 Crore: SEBI Proposal

For **Portfolio Manager Dealing-Room Relaxation for Fewer Than 10 Clients or AUM Below ₹100 Crore**, fix the event date and **asset/cash/position reconciliation** first. Reconcile **regulatory applicability** to the **system/UAT and communication archive**, then execute the filing, payment, investment, claim, contract or system step only after **client eligibility and suitability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Portfolio Management vs Mutual Fund Mandate: Suitability, Discretion and Fee-Control Checklist

For **Portfolio Management vs Mutual Fund Mandate**, fix the event date and **implementation evidence** first. Reconcile **operative-versus-proposal status** to the **SEBI circular or consultation**, then execute the filing, payment, investment, claim, contract or system step only after **conflict and disclosure controls** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

SEBI 10% Unlisted Investment-Grade Debt Limit: Portfolio Compliance Reconciliation

For **SEBI 10% Unlisted Investment-Grade Debt Limit**, fix the event date and **regulatory applicability** first. Reconcile **client eligibility and suitability** to the **client KYC and classification**, then execute the filing, payment, investment, claim, contract or system step only after **asset/cash/position reconciliation** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Foreign Securities in a Domestic Investment Mandate: SEBI, Custody and Valuation Checklist

For **Foreign Securities in a Domestic Investment Mandate**, fix the event date and **operative-versus-proposal status** first. Reconcile **conflict and disclosure controls** to the **investment mandate / agreement**, then execute the filing, payment, investment, claim, contract or system step only after **implementation evidence** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Demat Portability Between Depositories: Investor Transfer and Cost-Reconciliation Workflow

For **Demat Portability Between Depositories**, fix the event date and **client eligibility and suitability** first. Reconcile **asset/cash/position reconciliation** to the **compliance approval note**, then execute the filing, payment, investment, claim, contract or system step only after **regulatory applicability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Common Advertisement Code for SEBI-Regulated Entities: Marketing Approval and Archive Controls

For **Common Advertisement Code for SEBI-Regulated Entities**, fix the event date and **conflict and disclosure controls** first. Reconcile **implementation evidence** to the **portfolio or depository statement**, then execute the filing, payment, investment, claim, contract or system step only after **operative-versus-proposal status** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Broker Trading Software Change: Client Orders, Algo/API Access and UAT Evidence

For **Broker Trading Software Change**, fix the event date and **asset/cash/position reconciliation** first. Reconcile **regulatory applicability** to the **system/UAT and communication archive**, then execute the filing, payment, investment, claim, contract or system step only after **client eligibility and suitability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Margin Trading Facility Account Review: Interest, Pledge, Risk and Exit Checklist

For **Margin Trading Facility Account Review**, fix the event date and **implementation evidence** first. Reconcile **operative-versus-proposal status** to the **SEBI circular or consultation**, then execute the filing, payment, investment, claim, contract or system step only after **conflict and disclosure controls** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Special Window for Physical Share Transfer Cases: Investor Document-Reconstruction Guide

For **Special Window for Physical Share Transfer Cases**, fix the event date and **regulatory applicability** first. Reconcile **client eligibility and suitability** to the **client KYC and classification**, then execute the filing, payment, investment, claim, contract or system step only after **asset/cash/position reconciliation** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Social-Media Registration Disclosure for Securities Intermediaries: Profile, Content and Record Controls

For **Social-Media Registration Disclosure for Securities Intermediaries**, fix the event date and **operative-versus-proposal status** first. Reconcile **conflict and disclosure controls** to the **investment mandate / agreement**, then execute the filing, payment, investment, claim, contract or system step only after **implementation evidence** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

SEBI Recovery Certificate: Bank, Demat and Asset-Attachment Response File

For **SEBI Recovery Certificate**, fix the event date and **client eligibility and suitability** first. Reconcile **asset/cash/position reconciliation** to the **compliance approval note**, then execute the filing, payment, investment, claim, contract or system step only after **regulatory applicability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Settlement Application vs Adjudication: Securities-Law Decision and Evidence Matrix

For **Settlement Application vs Adjudication**, fix the event date and **conflict and disclosure controls** first. Reconcile **implementation evidence** to the **portfolio or depository statement**, then execute the filing, payment, investment, claim, contract or system step only after **operative-versus-proposal status** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Social-Media Stock Recommendation Due Diligence: How Investors Can Check Registration and Conflicts

For **Social-Media Stock Recommendation Due Diligence**, fix the event date and **asset/cash/position reconciliation** first. Reconcile **regulatory applicability** to the **system/UAT and communication archive**, then execute the filing, payment, investment, claim, contract or system step only after **client eligibility and suitability** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow

Investment Advice Received on WhatsApp or Telegram: Registration, Payment and Evidence Checklist

For **Investment Advice Received on WhatsApp or Telegram**, fix the event date and **implementation evidence** first. Reconcile **operative-versus-proposal status** to the **SEBI circular or consultation**, then execute the filing, payment, investment, claim, contract or system step only after **conflict and disclosure controls** agrees with the evidence. If the title is driven by a 2026 proposal or Bill, do not treat it as operative until the final legal status is verified.

P1 — high-intent workflow