Investment Entities Compliance Services

Investment Entities Compliance Services

Introduction

Investment Advisers, Research Analysts, and other SEBI-registered intermediaries operate within a structured regulatory framework that demands continuous compliance, documentation discipline, disclosure transparency, and periodic reporting.

Unlike pooled fund structures, these entities deal directly with clients and are subject to stringent eligibility, qualification, audit, net worth, and conduct requirements under SEBI regulations.

This service focuses on compliance management and regulatory alignment for such entities.

Who Needs This Service

This service is relevant for:

• SEBI Registered Investment Advisers (Individual & Non-Individual)

• SEBI Registered Research Analysts

• Investment Advisory Firms

• Corporate Advisory Entities

• Financial Research & Publishing Entities

• Boutique Advisory Platforms

• Fintech platforms providing regulated advisory services

Entities offering investment advice or research recommendations must maintain strong compliance and governance systems.

Scope of Services – What We Cover

A. SEBI Regulatory Compliance

• Compliance under SEBI (Investment Advisers) Regulations

• Compliance under SEBI (Research Analysts) Regulations

• Net worth monitoring and reporting

• Eligibility and qualification compliance tracking

• Registration and renewal support

B. Audit & Certification Support

• Annual compliance audit coordination

• Submission of audit reports to SEBI

• Half-yearly reporting support (where applicable)

• Client-level documentation review

C. Client Documentation & Disclosure Framework

• Client agreement structure review

• Risk profiling documentation alignment

• Disclosure and conflict of interest framework

• Code of conduct implementation

D. Operational Compliance

• Maintenance of books and records

• Segregation of advisory and distribution activities

• Fee structure compliance monitoring

• Grievance redressal framework documentation

E. Technology & Cyber Compliance

• Cybersecurity policy documentation

• VAPT coordination (if applicable)

• Data protection compliance framework

• System access and control documentation

F. Tax & Statutory Compliance

• Direct tax compliance under Income Tax Act, 2025

• TDS/TCS compliance

• GST applicability review (where applicable)

• Audit coordination and certification support

How We Help Your Business

We assist regulated advisory entities in:

• Maintaining continuous regulatory readiness

• Reducing inspection and penalty risk

• Strengthening documentation controls

• Improving governance structure

• Preparing for SEBI inspections or inquiries

Our approach ensures compliance becomes a structured process rather than an event-based activity.

Our Approach / Methodology

1. Regulatory applicability assessment

2. Gap analysis of existing compliance framework

3. Documentation and policy alignment

4. Compliance calendar implementation

5. Periodic monitoring and audit support

6. Ongoing regulatory update tracking

This ensures structured, ongoing compliance management.

Why H K Davra & Co.

• Understanding of SEBI intermediary regulations

• Practical experience in compliance structuring

• Governance-oriented documentation approach

• Audit and certification coordination expertise

• Risk-focused advisory framework

We focus on creating sustainable compliance systems aligned with regulatory expectations.

Scope of Engagement and Deliverables

Depending on the engagement, deliverables may include:

• Regulatory applicability report

• Compliance gap assessment note

• Policy and documentation framework

• Annual compliance audit coordination

• SEBI filing assistance

• Periodic compliance review reports

• Advisory on regulatory updates

Scope is customized based on entity structure and regulatory exposure.