We have helped lots of investment adviser and research analyst in registration with SEBI And helping them in their work on large scale.
So whenever we get registration from SEBI either as research analyst or investment adviser, First thing we need to do is apply for SCORES Registration. As Per SEBI New Investor Charter, which we need to upload on our website , we need to show No. of complaints pending with SCORES SEBI.
After Registration, First Thing we do is apply to SEBI For Scores.
It is mandatory for both SEBI Registered Research analyst or investment adviser to apply for SCORES Registration:
Here is the Step-by Step Process
1. Once you are registered with SEBI, You need to apply For Score in prescribed form I.e FORM B. Form B Is Attached Below For your Reference.
2. As per SEBI Guidelines you need to send hard copy to SEBI Mumbai as well as soft Copy to firstname.lastname@example.org
3. Once you send both hard copy and soft copy, SEBI Will issue you , login Id, password and link to check your complaints. We advise every Research analyst and investment adviser to check and take complaints matter Very seriously.
Currently if you are not registered and want to know how to become sebi registered research analyst , check our official blogpage
SEBI Allows you 30 Days time to Resolve the complaint and update the final submission.
Now we have scores registration , another thing SEBI Comes up is with Investor Charter which you need to upload on your website and if you don’t have any website , you need to mail the investor charter to every onboard Client.
We help research analyst and investment adviser to maintain their RA and IA Requirements and proper compliance report.