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Are you looking for SEBI research analyst registration? Connect our team to simplify the entire registration process with quick, transparent, and fully compliant solutions.
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If you are an investment professional or entity seeking to provide research-based insights and recommendations in Indiaโs securities market, obtaining SEBI research analyst registration is a crucial step. The registration granted by SEBI authorizes individuals and firms to offer independent analysis, research reports, and investment advice on securities, companies, and market trends.
Becoming a SEBI-registered research analyst allows you to operate as a credible intermediary, thereby helping investors make informed decisions while ensuring full compliance with SEBI regulations. Worried about the complexities of the SEBI research analyst registration process? Talk to our experts at Enterslice and experience a smooth, transparent, and hassle-free SEBI research analyst registration journey.
1,584 Registered Research Analysts
One Research Analyst for Every 73,000 Investors
Earnings Based on Subscription Models & Advisory Fees
10X your Earning Potential
Increased Credibility Among Clients and Investors
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With Enterslice, enjoy the ease of SEBI registration for research analyst. Now, no worries, only timely SEBI research analyst registration.
Based on the nature of research and the audience served, the SEBI research analysts are broadly classified into the following categories, as discussed below:
Sell-side analysts typically work for brokerage firms or investment banks. They ensure the preparation of research reports, stock recommendations, and market outlook shared with clients or the public to support trading and investment decisions.
Buy-side analysts are employed by institutional investors, primarily to analyse securities and make investment recommendations that help their firms build and manage profitable portfolios.
Independent analysts operate individually or through research firms and provide unbiased, fee-based research and investment analysis. They are not associated with any brokerage or fund house, ensuring objective and conflict-free insights for investors.
The SEBI-registered research analysts provide insights into the stock market, industries, and financial instruments through various services as discussed below:
Obtaining SEBI research analyst registration in India offers several benefits to entities engaged in investment research and advisory services.
SEBI-registered research analysts provide research and recommendations based on verified data, financial models, and in-depth market analysis, thereby helping make informed decisions.
SEBI research analyst registration ensures that analysts maintain transparency and objectivity, offering unbiased insights without any conflict of interest.
The investors rely on expert research reports and recommendations, thereby reducing the time and effort required for individual market analysis. It is one of the key benefits of SEBI research analyst registration.
SEBI research analyst registration authorizes research analysts to operate within the regulatory framework, ensuring compliance with disclosure norms and ethical standards.
Being SEBI-registered helps build credibility and trust among clients and investors, thereby positioning the analyst or firm as a reliable source of market intelligence.
SEBI-registered research analysts provide access to a wider investor base and financial market opportunities, thereby facilitating professional growth and business expansion.
The registration process of research analyst in India requires compliance with the following steps, as discussed below:
The first step requires the applicant to create an account on SEBIโs online intermediary portal, which is used to submit and track the registration of SEBI research analysts.
The next step requires the applicant to file an application form A, as prescribed under Schedule I of the SEBI (Research Analyst) Regulations, 2014, along with supporting documents such as qualification proof, experience details, and compliance declarations.
After submission, SEBI conducts a thorough background verification of information and documents containing the educational and professional qualifications of the applicant.
Once the application is found satisfactory, the applicant must make payment of the registration fees through a bank overdraft or electronically, as specified under Schedule II of the Regulations.
Upon successful verification and receipt of payment, SEBI grants a certificate of registration to the applicant, thereby authorizing them to operate as a SEBI-registered research analysts.
Lastly, the registered research analysts must maintain compliance with SEBIโs code of conduct disclosure norms and certification requirements.
The SEBI research analyst registration process usually takes around 60 to 90 days, varying based on the accuracy of documentation, SEBI verification timeline, etc. Given below is the timeline prescribed to register with SEBI as a research analyst-
The initial step, which requires the applicant to collect and prepare all required documents such as qualification certificate, NISM certification, KYC details, and business proof, takes around 10 to 15 working days.
It takes around 1 to 2 working days to create an account on SEBIโs intermediary portal, thereby submitting the online application for registration.
Filing of Form A: 10 to 15 Days
The next step of filing form A along with other necessary attachments as per SEBI (Research Analyst) Regulations, 2014 takes around 10 to 15 working days.
SEBI takes around 10 to 20 working days to review and provide clarifications during the verification of the application submitted.
It takes around 5 to 10 working days to make payment of the prescribed registration fees as per Schedule II of the SEBI regulations.
Once SEBI is satisfied with the application and fee payment, it takes around 10 to 15 working days for the grant of a certificate of registration, allowing them to operate as a registered research analyst.
The list of essential documents needed to register with SEBI as a research analyst comprises the following-
Identification documents (Aadhar Card, PAN Card, Passport)
Copy of address proof (Utility Bill, Aadhar, Passport)
Professional qualification certificates
Professional experience certificates
NISM Series-XV Research Analyst Certification
Copy of regulatory compliance declarations (if any)
Details of the CIBIL score rate of the applicants
Copy of net worth certificate from CA (issued within 6 months)
Last three yearsโ income tax return
Details regarding infrastructure availability
Copy of internal policy documents (if any)
Latest passport-sized photograph
Any other supporting documents (if required)
The following is a list of common mistakes to avoid while applying for the SEBI research analyst registration online-
Talk to Enterslice consultants, and let us help you overcome the challenges with minimum effort.
Any non-compliance with SEBI research analyst registration attracts several penalties and consequences, as discussed below:
The penalties for non-compliance with NBFC registration guidelines are listed below for your understanding:
The eligibility criteria for securing SEBI research analyst registration in India are as discussed below:
Checklist for SEBI Research Analyst Registration
Who can Apply for SEBI Research Analyst Registration?
The following is the list of mandatory post-SEBI research analyst registration compliance-
Non-Banking Financial companies play an important role in the financial ecosystem of India. While banks offer conventional services to their customers, importance of NBFCs in providing flexible services can’t be ignored. So, if you’re an entrepreneur looking for more flexible, balanced or inclusive financial services, you can explore various NBFCs. We have explained the difference between NBFCs and Banks in the table below:
As a leading consulting firm, Enterslice offers end-to-end assistance in obtaining SEBI research analyst registration. Connect us now to ensure a smooth process from documentation to compliance. Here are some of the reasons why Enterslice is considered the most preferred choice for SEBI research analyst registration:
A SEBI-registered research analyst is an individual or entity authorized by the Securities and Exchange Board of India to provide research and analysis on securities, investment strategies, and market trends. These analysts conduct an in-depth study of financial data, company reports, and market trends to offer recommendations, such as buy, hold, or sell ratings on stocks and other securities.
To be eligible to register as a SEBI Research Analyst, individuals and entities must comply with the specific educational and certification requirements, and also have a minimum net worth as specified under the SEBI (Research Analyst) Regulations, 2014.
A SEBI research analyst ensures the preparation, publishing, and provision of content related to securities and investment advice. This also includes analysing market trends, company financials, and industry performance to create research reports, offer buy/sell recommendations, and provide price targets for stocks, commodities, or currencies.
SEBI research analysts must disclose conflicts of interest, ownership details, and compensation in research reports. They also need to provide clients with clear terms and conditions before service, including the most important terms and conditions, and get their consent.
No, a foreign individual or entity cannot directly register as a SEBI research analyst. However, they can issue research reports on Indian securities by agreeing with a SEBI-registered research analyst.
No, a SEBI-registered research analyst cannot offer portfolio management services, whereas only a SEBI-registered portfolio manager is eligible to offer PMS services in India.
The SEBI research analyst makes money by providing research analyst services to clients on behalf of the company. However, such a research analyst will be compensated only for the analyst services and not for other services like merchant banking, investment banking, or brokerage services that he serves within the same business entity.
The code of conduct to secure registration for SEBI research analysts is as follows:โ
The application for a research analyst must be submitted online through the SEBI intermediary portal or the BSE intermediary portal. Before applying online, the applicant must register with the Securities Exchange Board of India, which can be done by visiting the SEBI website or the BSE website.
Yes, the NISM Series-XV: Research Analyst Certification Examination is compulsory for SEBI research analyst registration. This certification must be passed before you apply, and its validity must be maintained by timely renewal to remain registered as a research analyst.
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