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How to become sebi registered analyst
Step by step process
This is a detailed step by step guide to the SEBI Registered Research Analyst Application Process under SEBI(Research Analyst) Regulations 2014. It will help anyone with the necessary qualifications (see below) to apply for the SEBI Research Analyst certification. We help individuals, partnership firm registration, And private Limited company to register as Research analysts according to research analyst regulations. To get any help on registration call us on 8928321757
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How to become a SEBI Registered research Analyst? Here are all the answers about your registration as Research Analyst
Eligibility for registration as a Research Analyst in India
The following minimum qualifications are required to become a Research Analyst in India.
As per Regulation 7 of the Research Analyst Act 2014 ( Amended 2024)
- A professional qualification or postgraduate degree or Graduate degree or postgraduate diploma in finance, accountancy, business management, commerce, economics, capital market, banking, insurance or actuarial science or a professional qualification by completing a Post Graduate Program in the Securities Market (Research Analysis) from NISM of a duration not less than one year or You should be a graduate in any discipline with an experience of at least five years in activities relating to advice in financial products or securities or fund or asset or portfolio management.
- NISM Certificate ( Research Analyst XV ) : More Details about NISM Exam - NISM Exam Details
In simple words, a graduate or postgraduate in finance-related topics can pass the following examination by the National Institute of Securities Markets (NISM 15) and apply to SEBI for registration as a Research Analyst.
Documents required
- Proof of Identity
- Proof of address
- Proof of qualification (Degree certificates, NISM exam certificates )
- Business Plan
- Net worth certificate from a Chartered Accountant (Minimum net worth requirement is rupees one lakh for individuals or partnership firm.)
- Income Tax Returns for the last 3 years ( Mandatory for Individual )
- Various declarations.
Research Analyst Registration process.
The registration process is entirely online. SEBI has authorized BSE to act as an intermediary between the applicant and SEBI. Please do not confuse the two. Starting from July 28, 2024, all registrations will be processed exclusively through the BSE Portal, not the SEBI Portal.
- Register on the BSE portal to gain access.
- Complete the Research Analyst registration form on the BSE portal and upload the required documents.
- Address any queries raised by BSE/SEBI, pay the applicable fees, and obtain the registration.
After Registration on SEBI Portal, This opens Research Analyst form A. There are 7 sections in the application form as mentioned below.
Section 1. General Information
General Information consists of name, Registered office address, Contact details of the Registered Person and other details.
In addition to this, you have to write about your present and past activities majorly related to investment and personal finance.
Section 2. Details of applicant
In this section, you have to upload self-certified copies of identity proof, address proof, supporting documents in respect of qualification. NISM Research analyst exam certificates, 3 years Income tax return, and a copy of a net worth certificate from a chartered accountant.
Section 3. Details of Research Services
This is the main section regarding the research analyst registration application and here you need to upload a proper Business Plan, Internal Policy to address conflict of Interest, and Standard Disclosure, and other relevant necessary information. Call us to get all the relevant Documents.
Section 4. Details of infrastructure
In this section, you have to upload a complete list of infrastructure you have one by one and attach all the necessary proof you have for infrastructure. Also need to upload a declaration regarding infrastructure.
Section 5. Other Information and declaration
As discussed above, we would like to know that there are lots of declaration required in process of registration as a Research analyst. In this section, you have to upload all the other necessary information and declarations.
Section 6. Declaration Statement
This is the automatic declaration you will get in FORM A . No Need to file this from our end.
Section 7. Fees Details
Fees Details will be shown in FORM A automatically.
After filing Form A online, you will get FORM A in your mail id and we need to send this FORM A along will all the necessary documents and information to the nearest SEBI office. This is a complete process About how to become a SEBI Registered analyst
Want to know Register as SEBI Investment advisor then check our this page?
FAQ On Research Analyst registration
1. Is 3 years Income tax return mandatory in process of application filling?
Yes, 3 Years ITR Is mandatory in the individual process.
2. Which exam is required to clear for Research analyst registration?
NISM Research analyst 15
3. I am a graduate? Can I apply for registration?
Yes. As per latest amendment a graduate can also be a SEBI Registered Research Analyst
4. Can I apply for Research Analyst Registration with Job?
As per SEBI Regulation, 2(H) Research analyst activity should be only your business activity. Kindly Read 2(H) carefully. As per SEBI latest amendment part time concept of RA is Introduced but you can have maximum 75 Clients at any point of time in Part time RA.
Step by Step Requirement to register as Sebi Research analyst