Publishing Research Reports Without SEBI Registration?
That’s a Shortcut to Penalties, Suspension & Reputational Damage
In India’s regulated financial ecosystem, publishing equity research or market analysis without SEBI registration isn’t just risky — it's illegal. Whether you're an individual analyst, a company, or an advisory firm, you must be registered with SEBI (Securities and Exchange Board of India) to operate legally.
✅ Who Can Apply for SEBI Research Analyst Registration?
If you're aspiring to become a SEBI-registered Research Analyst, you must fall under one of these categories:
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✔️ Individuals, LLPs, or Companies
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✔️ Post-graduate/diploma holders (from UGC-recognized institutions), or
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✔️ Graduates with 5+ years of experience in the financial services industry
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✔️ NISM Series XV – Research Analyst Certification is mandatory
🔍 Why SEBI Registration Matters
SEBI has significantly increased its scrutiny of unregistered research analysts. Recent months have seen a surge in penalties, suspensions, and public notices for violators.
Non-compliance isn't just a technical issue—it can destroy reputations and careers.
⚠️ Common Mistakes That Lead to SEBI Action
Avoid these pitfalls if you’re planning to operate as a research analyst:
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❌ Offering research services without valid SEBI registration
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❌ Not disclosing conflicts of interest or major business changes
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❌ Failing to maintain records of research reports and client communication
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❌ Ignoring KYC norms during client onboarding
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❌ Misleading clients with unrealistic promises or unethical practices
🛡️ Build Trust with Compliance
Compliance isn’t just about avoiding penalties — it’s about building trust, transparency, and credibility with your clients and stakeholders.
If you want to build a long-term career as a Research Analyst, it starts with the right structure, legal foundation, and ongoing compliance with SEBI regulations.
📞 Need Help with SEBI Registration?
Getting started doesn’t have to be overwhelming. From eligibility checks to documentation and filing, our experts can guide you through every step.
👉 Contact us today for a free consultation
📞 +91 93113 47006
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