Are you prepared for the upcoming compliance audit?
The compliance expectations for Research Analysts continue to evolve.
Over the past few months, there has been a noticeable increase in compliance audits and regulatory inspections of Research Analysts by SEBI and BSE (RAASB). At the same time, RAASB has prescribed a detailed framework identifying various non-compliances and the corresponding monetary penalties, reinforcing the importance of maintaining a robust compliance framework throughout the year.
Having recently assisted a Research Analyst entity during a joint inspection by SEBI and BSE, we have seen first-hand the importance of being audit and inspection ready.
With the annual compliance audit required to be completed by 30 September, this is an ideal opportunity for Research Analysts and compliance professionals to revisit their compliance framework and address potential gaps before the audit.
To help the industry prepare, our team is conducting a FREE webinar on “The Top 5 Compliance Requirements for Research Analysts.”
Webinar Details
📅 Date: Thursday, July 23, 2026
🕓 Time: 4:00 PM – 5:00 PM
💰 Fees: Free
📝 Registration: Mandatory
Click here to register
During this practical session, we will discuss:
- The five compliance areas that deserve immediate attention.
- Common non-compliances observed during compliance reviews and regulatory inspections.
- Key learnings from recent SEBI orders involving Research Analysts.
- The RAASB framework on non-compliances and penalties.
- Practical steps to strengthen your compliance framework.
The webinar will conclude with a live Q&A session where participants can discuss their compliance-related queries with our team. Whether you are a newly registered Research Analyst or an established entity, this webinar will help you understand the compliance requirements that deserve immediate attention.
We look forward to your participation.
Click here to register
If you have any queries about the webinar, please write to us at compliance@cskruti.com.