SEBI (Securities and Exchange Board of India) mandates that individuals and entities providing investment advisory or research services must obtain proper registration. This ensures transparency, investor protection, and regulatory compliance.
Our service simplifies the SEBI registration process, ensuring a smooth and hassle-free experience.
Obtaining SEBI registration is a crucial step for financial professionals, but the process can be complex, time-consuming, and filled with regulatory challenges. Navigating through extensive documentation, compliance requirements, and procedural formalities can be overwhelming. Our expert-driven approach ensures that you receive professional guidance at every stage, from document preparation to final approval.
With years of experience in finance and regulatory procedures, we ensure accurate documentation.
We handle everything from document preparation to submission, so you don’t have to worry about legal complexities.
Proper guidance and error-free documentation increase the chances of quick SEBI approval.
From eligibility checks to compliance follow-ups, we take care of everything.
We follow a structured, step-by-step approach to ensure a seamless SEBI registration experience.
✔ Initial consultation to assess eligibility for RA/RIA registration.
✔ Understanding your business model and SEBI compliance requirements.
✔ Compilation of required documents, including personal, financial, and qualification details.
✔ Ensuring all paperwork meets SEBI guidelines to avoid rejections.
✔ Submission of the registration application along with required documents.
✔ Guidance on SEBI’s online portal and payment of registration fees.
✔ Handling SEBI’s queries, if any, during the verification process.
✔ Ensuring compliance with regulatory norms and responding to objections.
✔ Receiving SEBI’s approval and official registration certificate.
✔ Guidance on post-registration compliance requirements.
To ensure a smooth SEBI registration process, the following documents are required:
| Category | Documents |
|---|---|
| Personal & Business Details | PAN Card (Personal & Business), Aadhaar Card, Passport-size Photograph, Address Proof |
| Qualification Certificates (for RIA) | Postgraduate Degree in Finance, Business, Economics, or related field, NISM Investment Adviser Level 1 & Level 2 Certification / Research Analyst 15 Certification |
| Financial & Net Worth Statements | 3 years Income Tax Returns (ITR), Bank Statements (last 6 months), Net Worth Certificate from a CA, CIBIL Report |
| Compliance Reports | Business Plan & Advisory Model, Internal Risk & Compliance Policy |
| Other Regulatory Requirements | SEBI Undertaking & Declarations, Legal Agreements (if applicable) |
Important Notice: SEBI is the final authority in approving or rejecting any registration application. While we ensure accurate documentation and compliance, the acceptance or non-acceptance of an application is solely at SEBI’s discretion.
Get expert guidance for hassle-free documentation and smooth approval.
To read our detailed terms and conditions, please download the document below:
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