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SEBI product and intermediary module

Research Analysts

Integrated module covering registration, independence, conflicts, research report and trading.

registration, independence, conflicts, research report and trading8 control pages

Control pages

P-01

Legal and registration perimeter

P-02

Governance and responsible persons

P-03

Onboarding, eligibility and due diligence

P-04

Funds, securities, custody and segregation

P-05

Valuation, pricing, fees and conflicts

P-06

Disclosure, reporting and website

P-07

Complaints, defaults and investor protection

P-08

Inspection, enforcement and evidence