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11 articles found

From Individual to Non-Individual RA/IA: Structuring the Transition Smoothly Compliance

From Individual to Non-Individual RA/IA: Structuring the Transition Smoothly

Many Research Analysts and Investment Advisers begin as individuals. It is efficient, cost-effective, and quick to set up.

Feb 11, 2026 Read More
Segregation of Activities Within Group Structures: Getting It Right Without Disrupting Business Compliance

Segregation of Activities Within Group Structures: Getting It Right Without Disrupting Business

As Investment Advisers and Research Analysts scale their businesses, many naturally operate within group structures—with entities or individuals handling advisory, distribution, technology, marketing, or execution. SEBI does not prohibit such …

Feb 11, 2026 Read More
Why Some Compliance Approaches Create More Problems Than They Solve Compliance

Why Some Compliance Approaches Create More Problems Than They Solve

Most Research Analysts and Investment Advisers don’t try to cut corners. In fact, many compliance challenges arise from attempts to simplify operations, save time, or reduce friction.

Feb 11, 2026 Read More