Got a SEBI Notice? Consult Expert SEBI Legal Officers

 SEBI and BSE Inspection has become a norm in the Research Analyst and Investment advisor industry.But here comes the main picture where SEBI Registered Research analyst and Investment advisors get Frightened due to non compliance fear as this SEBI inspection goes in very detail.

But before we start, let me tell you this very clearly — we at Taxation Consultancy handle registration for Research Analysts, Investment Advisors, and Portfolio Managers. Also, we handle SEBI inspections, show cause notices, and legal cases for registered and unregistered advisories in SEBI matters.

First of all, it’s not necessary that SEBI inspection always comes with notice. SEBI can directly show up at your office, and they can ask for respective answers or records. And today, I will tell you everything that SEBI expects or sebi law officer from you during an inspection — all the things you must always have ready. Make sure you watch till the end because all your compliances will be covered in this video — you’ll know whether you are following them or not.

SEBI inspections are mainly for investor protection. They ensure that RAs, IAs, or Portfolio Managers are not making false promises or selling wrong services. For example — that an RA isn’t using their license to give crypto or forex recommendations, or that they are not biased while trading for their clients, friends, or family. SEBI checks that you are working ethically and that your clients are not being misled. Sometimes inspections are without notice, sometimes with notice. You can’t think SEBI won’t reach you because you live in a small town — virtual inspections are also happening now. So, make sure you’re ready with everything.

If you don’t have proper documents or compliance records — whether you are an RA, IA, or Portfolio Manager — SEBI can impose penalties, issue warnings, or even suspend your registration. If you’ve received an inspection notice or need legal support, call or WhatsApp us on the details given below, or email us. Our team will get back to you.

1. Records – You must maintain records for at least five years — including research reports, recommendations, public appearances, and client data.

2. Risk Profiling (for IAs) – SEBI checks if you assess your client’s risk profile and give services accordingly. If you’re providing services without profiling, it’s a violation.

3. Fees Charged – For RAs: ₹1,51,000 + GST (maximum cap). For IAs: 2.5% of assets under advice or ₹1,51,000 + GST, whichever is lower. You can’t charge extra in the name of services, courses, or education. Transparency is mandatory.

• Conflict of Interest and Misconduct

SEBI checks if you have any conflict of interest — such as promoting something for commission without disclosing the risk to your clients. It also checks whether you are making false promises or guaranteeing returns (“I’ll make this much profit for you”, etc.). You must maintain records of client communications, conversions, and interactions.

• SCORES Complaints and Website Updates

SEBI reviews your SCORES complaint data — whether you’re resolving them on time or not. Make sure your website is updated monthly with complaint status, resolutions, and data transparency.

• Audit and Periodic Reporting

SEBI verifies whether you’ve conducted timely audits and submitted periodic reports. Don’t rely on local CAs to just “tick boxes.” SEBI checks the actual audit dates and demands corresponding records. Improper or fake audits can lead to serious trouble.

• Common Mistakes

Many individuals operate their company under an individual registration, which is not allowed. SEBI penalizes such cases. Always update SEBI whenever there’s a change in office address, principal officer or sebi legal officer, company name, contact number, or email. Failure to update can result in penalties.

• Qualification and Employee Conduct

Ensure employees dealing with clients have cleared the required NISM certifications (15 for RA, 10B for IA). They should never make guaranteed return promises or mis-sell services.

• Financial and Client Data Verification

During inspection, SEBI will ask total payments received each month, renewal payments, number of recommendations given and clients served, copies of agreements, invoices, and internal policies. You must also maintain research reports, rationales for recommendations, and family trading records. For companies, SEBI may even ask for employee trade records.

• Public Disclosures

SEBI will verify whether your research reports have proper disclaimers, whether you disclose conflicts during public appearances, and whether you’ve faced previous inspections, and if so, the outcome. They will ask for client agreements, service invoices, internal policy copies, audit reports, financial statements, and office readiness proof.

• Complaint Handling and AML Compliance

Your SCORES complaints, how quickly you resolve them, and how accurately they’re recorded — all will be reviewed. Even your AML (Anti-Money Laundering) compliance will be thoroughly checked, which many sebi law officer ignore.

Make sure your records, audit reports, complaint data, and website disclosures are always up to date. If you’ve received a SEBI inspection notice, show cause notice, or need help in legal cases — call us, WhatsApp us, or email us on the details given below. Be transparent with us, and our sebi legal officer will help you in every way possible.You can call us any time at 8928321757 or drop a mail at taxationconsultancy997@gmail.com

A SEBI Legal Officer is a professional who handles legal matters under SEBI regulations.
If you run an advisory, PMS, AIF, or research entity, you don’t need to hire a SEBI Legal Officer internally—our consultancy provides complete SEBI legal support, compliance, and documentation services, acting as your external expert team.

SEBI Law Officers work for SEBI, not for private businesses. For SEBI Registration, you need a consultancy like ours that offers:

• RIA (Investment Advisor) Registration
  
• Research Analyst Registration
  
• PMS & AIF Registration
  
• Post-registration compliances
  
• SEBI legal & documentation support

We provide end-to-end SEBI legal assistance, including:

• Drafting legal documents
  
• Compliance audits
  
• Regulatory reporting
  
• Handling notices & responses
  
• Ongoing SEBI compliance advisory

We act as your SEBI legal support team without you needing an in-house officer.

Yes. While SEBI Law Officers work within SEBI, we provide equivalent services tailored for advisory businesses, including:

• SEBI rule interpretation
  
• Compliance monitoring
  
• Risk management
  
• Legal drafting & representations
  

We assist:

• Registered & unregistered Investment Advisors (IA)
  
• Research Analysts (RA)
  
• Portfolio Managers (PMS)
  
• Alternative Investment Funds (AIF)
  
• Algo trading firms
  
• Financial research firms
  

Yes. We specialize in managing:

• SEBI Show Cause Notices
  
• Compliance deficiencies
  
• Inspection support
  
• Advisory legal responses
  

Our team prepares complete representations and guides you through the process.

Yes. We draft:

• Compliance manuals
  
• Risk profiling documents
  
• Client agreements
  
• Research reports (for RA)
  
• PMS/AIF legal documents
  
• SEBI response letters

You can reach out to us anytime for a consultation. We will guide you through your registration type, compliance requirements, and complete legal process—from start to approval and ongoing support.