Preserve the basis for regulated investment advice

For a registered investment adviser, connect client risk profile, suitability assessment, agreed scope, recommendation rationale and disclosures at the advice date. The adviser reviews the recommendation, while compliance can inspect the complete decision record.

A reviewed requirement changes, an operating event occurs or an applicable obligation becomes due.

People in the process

IInvestment AdvisoryProcess Owner
CComplianceParticipating Team
CClient ServiceParticipating Team

Records it works with

Applicable requirement and reviewed interpretation
Entity, location, product or transaction details
Current permissions, evidence and prior submissions

The process is a starting point.The standards are yours.

Configure for the SEBI registration, exchange membership and business activity. Broker, fund, portfolio-manager and investment-adviser requirements are separate.

Keep the work connected.

Compliance & Investor Service

Close a return for the registration actually held

Determine whether a return belongs to the broker, DP, AMC, AIF manager or adviser, then collect the correct source schedules, reviewer sign-off and portal acknowledgement. Compliance investigates conflicting figures instead of recycling one group-wide template.

Compliance & Investor Service

Prove that an inspection issue was actually fixed

Tie each exchange, depository or SEBI observation to source records, responsible owner, corrected process and a tested sample. Compliance submits an authorised response only after evidence demonstrates the change at the affected registered entity.

OTL

Compliance & Investor Service

Resolve an investor grievance from transaction evidence

Join the investor’s allegation with mandate, instructions, contract notes or unit records, communications and earlier remedy attempts. The registered entity’s grievance officer approves an accurate response and coordinates correction in the source system when warranted.

OCL

Explore all Capital markets processes.

Order for the work. Room for the people.