SEBI Research Analyst
SEBI Research Analyst – Overview
The Securities and Exchange Board of India (SEBI) requires all individuals, firms, and companies who provide investment research, stock market analysis, or trading recommendations to be registered as Research Analysts (RA) under the SEBI (Research Analyst) Regulations, 2014.
This registration ensures transparency, accountability, and investor protection in financial advisory services. Without SEBI registration, providing research reports, investment advice, or stock recommendations can attract penalties and regulatory action.
At Cardiff Services, we provide end-to-end SEBI Research Analyst Registration and Compliance Services in India, ensuring analysts and firms meet eligibility norms, complete documentation, and remain fully compliant with SEBI regulations.
Why Choose Cardiff Services for SEBI Research Analyst Compliance
At Cardiff Services, we simplify the complex SEBI Research Analyst registration process and provide holistic compliance support. Our team ensures that applicants not only obtain the license but also remain compliant with SEBI regulations through policy drafting, reporting, and audits.
We bring together expertise in finance, compliance, and regulatory advisory, ensuring your RA license application is accurate, timely, and regulator-ready. With Cardiff Services, your research and advisory business operates legally, transparently, and with investor trust.
Key Features of SEBI Research Analyst Services
Eligibility Review: Guidance on qualification and experience requirements for RA registration.
Registration Support: Assistance in preparing and filing the RA application with SEBI.
Compliance Advisory: Guidance on disclosures, code of conduct, and client agreements.
Audit & Reporting: Support for annual compliance reporting to SEBI.
Policy Drafting: Creation of compliance manual, KYC/AML policies, and internal controls.
Ongoing Monitoring: Ensuring continuous compliance with SEBI’s rules on communication and conflict of interest.
Documents Required for SEBI Research Analyst Registration
PAN, Aadhaar, and educational qualification certificates.
Proof of professional experience in finance/research.
Net worth certificate (for corporate applicants).
Incorporation documents (MOA, AOA, Certificate of Incorporation for firms/companies).
Board resolution (for companies applying).
Office address proof, rent agreement/ownership documents.
Business plan and compliance policies.
KYC of promoters/directors.
Past compliance records (if applicable).
Step-by-Step Procedure for SEBI Research Analyst Registration
Eligibility Check – Verify qualifications (finance, economics, CFA, MBA, etc.) and work experience.
Document Preparation – Collect personal, financial, and corporate documents.
Application Filing – Submit Form A and supporting documents to SEBI.
Fee Payment – Pay registration fees as prescribed (individual/firm/company).
SEBI Review – Respond to clarifications or additional requirements from SEBI.
Grant of Certificate – Obtain SEBI Research Analyst Certificate of Registration.
Post-Registration Compliance – Maintain disclosures, submit annual reports, and follow SEBI code of conduct.
Frequently Asked Questions
A company name search ensures that your chosen business name is unique, legally compliant, and not already registered with Companies House UK. It helps you avoid legal disputes, trademark issues, and confusion in the Cardiff business market.
If your desired name is already registered, you’ll need to choose a different name or modify it. Using a taken name could result in rejection by Companies House or potential legal issues. Our experts can help you brainstorm alternative names that are compliant and market-ready.
It’s not advisable to use a name that’s too similar to another company, especially within the same industry. Similar names can confuse customers and risk trademark disputes. A company name search helps you identify these risks early.
For a company name search in Cardiff, you may need:
Proposed company name
Business entity type (Ltd, LLP, Partnership, etc.)
Jurisdiction (Cardiff / UK)
Owner or shareholder details (if applicable)
Business description
A “high probability” result means your proposed company name is likely to be available, but further checks are recommended. This is why our detailed Cardiff Company Name Search Report includes both identical and similar names for clarity.
Certain words are restricted under UK law (e.g., “bank,” “insurance,” “government”). If you want to use them, you’ll need special approval from regulatory bodies. We guide you through this process if your Cardiff business requires such terms