RIA/RA

Strengthening Advisory Integrity – IA & RA Compliance Services
Specialized guidance for Investment Advisers and Research Analysts in achieving and maintaining regulatory excellence

Investment Advisers (IA) and Research Analysts (RA) operate in a tightly regulated environment governed by SEBI regulations. RegEx provides specialized legal and compliance solutions tailored to their evolving needs—from registration to ongoing compliance and performance validation.

IA & RA Support Services:

1. Registration & Structuring

• Assistance in SEBI registration for individual and non-individual IAs and RAs

• Advisory on ownership, net-worth, qualification, and certification criteria

• Structuring support for setting up advisory/research entities

2. Compliance Frameworks & Documentation

• Preparation of policy documents including compliance manuals, SOPs, and audit checklists

• Advisory on conflict of interest, fee structures, risk profiling, suitability, and disclosures

• Review and enhancement of client onboarding processes

3. Regulatory Filings & Inspections

• Support in periodic reporting and returns to SEBI

• Representation and guidance during SEBI inspections or notices

• Drafting of replies to Show-cause Notices, deficiency letters, or clarifications

4. Performance Verification & Transparency Advisory

• Advisory on performance disclosures as per SEBI guidelines

• Validation support for model portfolios and investment recommendations

• Strategic input for enhancing transparency and investor confidence

5. Training, Audit Support & Updates

• Training sessions for compliance officers and advisory staff

• Audit preparedness and assistance during compliance reviews

• Regular regulatory updates and impact analysis on IA/RA operations

With RegEx, stay ahead of regulatory expectations while delivering trusted advice.