SEBI (Research Analysts) Regulations 2014: Complete Compliance Guide
Praveen Dubey (SEBI Registered RA)
SP RESEARCHVIA PVT. LTD. (INH000015808)
SEBI (Research Analysts) Regulations 2014: Complete Compliance Guide
In-depth legal and operational compliance breakdown by SP RESEARCHVIA PVT. LTD. (sebi registered research Analyst Firm, Reg No. INH000015808 under Chief Research Analyst Praveen Dubey).
1. Core Mandates of SEBI RA Regulations 2014
Enacted to establish integrity and transparency in equity research, the SEBI (Research Analysts) Regulations 2014 govern how research reports are prepared, reviewed, and published.
| Compliance Pillar | Regulatory Requirement | Operational Rule |
|---|---|---|
| Conflict Disclosure | Mandatory Financial Disclosures | Disclose holdings in recommended stocks |
| Personal Trading Restrictions | 30-Day Quiet Period Rule | Cannot trade contrary to published views |
| Record Maintenance | 5-Year Record Keeping | Maintain research notes, communications, recommendations |
| Annual Audit | Mandatory Independent Audit | Annual compliance audit by practicing CA/CS |
2. Disclosures & Investor Protection Framework
RAs must clearly state whether they or their associates hold financial interest or beneficial ownership exceeding 1% in the subject company.
For registration requirements, read SEBI RA Eligibility & Fees, compare with RA vs RIA Differences, and review our SEBI Investor Charter.
Frequently Asked Questions (FAQ)
Q: How long must a SEBI Research Analyst maintain research records?
A: Regulations mandate maintaining all research reports, rationales, interactions, and compliance records for a minimum of 5 years.
SP RESEARCHVIA PVT. LTD. - SEBI Registered Research Analyst
SEBI Reg No: INH000015808 | Chief Research Analyst: Praveen Dubey
Statutory Warning & Risk Disclaimer: Investment in securities market are subject to market risks. Read all related documents carefully before investing. Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
Written by Praveen Dubey
Chief Research Analyst | SEBI Reg: INH000015808
Statutory Warning & Risk Disclaimer: Investment in securities market is subject to market risks. Read all related documents carefully before investing. Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors. Content provided on this blog is for informational and educational purposes only.