SEBI Compliance Services & Regulatory Expertise
SEBI Compliance Consultants for Research Analysts, Investment Advisers & Regulated Businesses
KP RegTech provides specialised SEBI compliance, regulatory advisory, compliance audit, registration and ongoing compliance services for Research Analysts, Investment Advisers, Portfolio Managers and other regulated businesses in India.
Explore All Services1. SEBI Registration & Licensing
RA, IA / RIA & PMS Registration SupportWe provide end-to-end regulatory and compliance assistance for eligible applicants seeking registration as Research Analyst (RA), Investment Adviser (IA / RIA), or Portfolio Manager (PMS).
- Eligibility assessment
- Regulatory documentation
- NISM certification guidance
- Application preparation & filings
- Application fee-related assistance
- Regulatory query support
- Application tracking with SEBI
- Compliance framework preparation
- Pre-registration readiness
The objective is not merely to complete the registration process, but to help applicants establish an appropriate compliance foundation for their regulated activities.
2. Research Analyst (RA) Compliance
Research Analyst Compliance Consultant & AuditResearch Analysts operate under a specific regulatory framework requiring appropriate processes, records, disclosures and controls. KP RegTech provides Research Analyst compliance support covering operational and regulatory obligations.
- RA regulatory compliance
- Compliance framework development
- Policies and SOPs
- Regulatory & client documentation
- Applicable disclosures
- Research-related compliance
- Advertisement & communication review
- Website compliance
- Record maintenance & registers
- Ongoing compliance monitoring
- Regulatory gap assessment
- RA Compliance Audit & inspection prep
3. Investment Adviser / RIA Compliance
Investment Adviser & RIA Compliance Consultant & AuditInvestment Advisers and RIAs operate within a regulatory framework involving client onboarding, risk profiling, suitability, agreements, disclosures, records and ongoing compliance obligations.
- Investment Adviser regulatory compliance
- RIA compliance framework
- Risk profiling & suitability assessment
- Client agreements & documentation
- Applicable disclosures & fee compliance
- Records and statutory registers
- Grievance-related processes
- Website compliance & ad reviews
- Ongoing compliance monitoring
- Regulatory gap assessment
- RIA Compliance Audit & inspection readiness
4. SEBI Compliance Audit
SEBI Compliance Audit & Regulatory ReviewA compliance audit provides an opportunity to assess whether applicable regulatory requirements are actually being implemented through the organisation's policies, processes, records and documentation.
- Regulatory status & circular adherence
- Policies, SOPs & internal processes
- Client records & agreements
- Risk profiling & suitability verification
- Disclosures & website content audit
- Advertisement & communication practices
- Fee collection & grievance handling
- Regulatory registers & filing verification
- Internal controls & remediation tracking
5. Ongoing SEBI Compliance & Support
Year-Round Regulatory Compliance ManagementSEBI compliance does not end after registration or after completion of an annual audit. Our ongoing compliance support helps regulated entities monitor regulatory obligations throughout the year.
- Periodic compliance reviews
- Regulatory deadline monitoring
- Quarterly & half-yearly filings
- Compliance calendar management
- Record maintenance & registers
- Graded deposit tracking
- Regulatory policy & disclosure updates
- Proactive compliance alerts
- Audit preparation & remediation tracking
6. Compliance-as-a-Service (CaaS)
Your Extended Compliance FunctionOur Compliance-as-a-Service (CaaS) model is designed for regulated businesses that require continuous compliance monitoring and support without the overhead of building a large in-house team.
- Compliance calendar management
- Regulatory deadline tracking
- Periodic compliance reviews
- Filing support & statutory submissions
- Record maintenance & audit-ready vaults
- Real-time regulatory updates
- Automated compliance alerts
- Continuous remediation tracking
7. SEBI Compliance Framework Setup
Build a Structured Regulatory Compliance FrameworkWe help regulated entities establish institutional compliance frameworks aligned with applicable SEBI regulations, ensuring clear accountability and verifiable governance.
- Internal policies & SOP drafting
- Compliance checklists & registers
- Regulatory compliance calendars
- Record-maintenance systems
- Client onboarding & KYC/AML processes
- Graded deposit framework
- Risk-management controls
- Mandatory disclosure frameworks
- Internal review & escalation mechanisms
8. SEBI Advertisement & Communication Compliance
Advertisement Review & Regulatory CommunicationInvestor-facing communications, performance claims, and marketing materials should be reviewed for strict compliance with applicable regulatory requirements.
- Marketing copy & creative content review
- Mandatory disclaimer vetting
- Risk-disclosure checks
- Investor-facing communication review
- Website & social media post audits
- Investor Charter display compliance
- BASL / RAASB advertisement approvals
9. SEBI Website Compliance
Compliance-Focused Website Development & ReviewFor Research Analysts, Investment Advisers and other regulated entities, the website forms an essential part of the investor-facing compliance environment.
- SEBI disclosure integration
- Investor Charter display
- Fee structure disclosures
- Regulatory disclaimers & risk warnings
- Grievance redressal portal integration
- Regulatory registration credentials
- Mobile-responsive digital architecture
- Digital compliance auditing
10. Regulatory Inspection Readiness
Prepare for SEBI / Regulatory InspectionRegulatory readiness should be an ongoing process rather than something addressed only after receiving an inspection notice.
- Pre-inspection documentation review
- Comprehensive gap analysis
- Record verification & audit trail check
- Policy & SOP review
- Identification of potential observations
- Remediation planning
- Mock inspection conduct
- Regulatory response & hearing support
11. Insider Trading Compliance
SEBI PIT Compliance & Internal ControlsWhere applicable to the client's business and regulatory framework, we assist with insider-trading-related compliance requirements under SEBI (Prohibition of Insider Trading) Regulations.
- Code of Conduct framework drafting
- Trading-window monitoring mechanisms
- Pre-clearance of trade processes
- Structured Digital Database (SDD) advisory
- Disclosure management
- Compliance registers & records
- Internal controls & regulatory filings
12. Corporate Secretarial & Corporate Compliance
Corporate Secretarial Services & ROC ComplianceWhile SEBI regulatory compliance remains our principal area of expertise, KP RegTech also provides selected corporate secretarial and corporate compliance services.
- Private & Public Limited, LLP incorporation
- Board meetings & AGM governance
- Financial statements & annual return filings
- MCA & ROC statutory filings
- Director & registered office changes
- Capital structure & shareholding changes
- Legal & Secretarial due diligence
- Transaction-related compliance reviews
13. Company Incorporation & Structuring
Build the Right Regulatory FoundationFor businesses entering the regulated financial ecosystem, corporate structure and regulatory compliance often need to be considered together from day one.
- SPICe+ Company & LLP incorporation
- Name approval & MOA/AOA drafting
- DIN / DSC issuance support
- GST, PAN, TAN & MSME registration
- Trademark registration support
- SEBI-specific capital & net-worth structuring
14. FEMA, Startup & Regulatory Advisory
Cross-Border & Strategic Advisory SupportWe provide selected advisory support in areas that complement our core regulatory and corporate compliance practice.
- FEMA Advisory: Foreign exchange regulatory requirements, FDI/ODI compliance
- Startup Advisory: Regulatory and corporate scaling support for fintech ventures
- Corporate Consultations: Expert opinions on corporate and securities laws
15. Technology-Enabled Regulatory Compliance
Powered by VintushTech — Intelligent Compliance Automation
KP RegTech combines deep regulatory expertise with modern technology through VintushTech, our dedicated platform focused on automating compliance workflows for capital market participants.
- Web development & compliance portals
- AI solutions for document verification
- Mobile applications & investor verification
- UI/UX design optimized for SEBI disclosures
- Automated filing reminder engines
- Structured audit-ready data vaults
Why Choose KP RegTech?
A trusted regulatory partner combining domain mastery, practical structuring, and technology-driven efficiency.
Specialist SEBI Compliance Expertise
Our principal focus is SEBI regulatory compliance, particularly for Research Analysts, Investment Advisers and other regulated financial businesses.
Experienced Professional Team
Our team combines expertise across Company Secretarial practice, legal advisory, regulatory compliance, audit and technology.
Practical Compliance Approach
We translate regulatory requirements into policies, processes, documentation, controls and verifiable evidence of compliance.
Audit & Regulatory Readiness
Our services extend from routine compliance to annual compliance audits, gap assessments, remediation and inspection readiness.
Technology-Enabled Compliance
Through VintushTech, we combine professional regulatory expertise with technology, automation, AI and digital systems.
Ongoing Support
We work with clients beyond registration or a single audit through structured, ongoing compliance support.
Who We Serve
Our expertise is purpose-built for participants in the Indian capital markets and corporate ecosystem.
Our Compliance Approach
A rigorous, dependable methodology delivering end-to-end regulatory clarity.
Understand
We understand your business model, regulatory status, services and operational processes in depth.
Map
We identify the regulations, circulars, regulatory requirements and compliance obligations relevant to your business.
Assess
We assess existing policies, records, documentation, disclosures and controls to highlight potential vulnerabilities.
Implement
We assist in implementing required policies, processes, documentation and controls with precision.
Monitor
We support ongoing compliance monitoring, regulatory updates, and filing deadline tracking.
Audit & Improve
Periodic compliance reviews help identify gaps and strengthen the compliance framework over time.
Frequently Asked Questions
Clear, direct answers regarding our regulatory advisory services, audits, and compliance scope.
A SEBI compliance audit reviews an entity's policies, SOPs, client records, agreements, disclosures, website content, advertisement practices, fees, grievance handling and regulatory filings against applicable SEBI requirements, followed by gap identification and remediation support.
Timelines vary by registration category (RA, IA, or PMS) and applicant readiness. KP RegTech supports eligibility assessment, documentation and application tracking to help minimise delays.
Research Analyst (RA) compliance centres on research-related disclosures, advertisement and communication review, and record maintenance. Investment Adviser (RIA) compliance additionally covers risk profiling, suitability assessment, client agreements and fee-related compliance, reflecting the advisory nature of the RIA's activities.
Yes. Our ongoing compliance and Compliance-as-a-Service (CaaS) offerings provide continuous monitoring, periodic filings, compliance calendars and regulatory alerts beyond a single audit or registration engagement.
CaaS is KP RegTech's continuous compliance monitoring model — covering compliance calendar management, regulatory deadline tracking, periodic reviews, filing support and remediation tracking — designed for businesses that prefer an extended compliance function rather than ad hoc support.
Yes. Our inspection-readiness support includes pre-inspection documentation review, compliance gap analysis, mock audits and remediation planning.
A SEBI compliance consultant helps regulated businesses understand and implement applicable SEBI requirements through regulatory advisory, compliance frameworks, policies, documentation, monitoring, audits and remediation support.
Yes. KP RegTech provides SEBI compliance consulting, regulatory advisory, compliance framework setup, ongoing compliance, audits, registration support and regulatory readiness services.
Yes. We provide Research Analyst compliance support covering regulatory setup, ongoing compliance, documentation, disclosures, advertisement and website compliance, audit preparation and regulatory reviews.
Yes. KP RegTech provides Research Analyst compliance audit and regulatory review services covering applicable regulatory requirements, records, documentation, processes and controls.
Yes. We provide Investment Adviser / RIA compliance support covering regulatory framework, risk profiling, suitability, client documentation, disclosures, website and advertisement compliance, ongoing compliance and audit preparation.
Yes. KP RegTech provides Investment Adviser / RIA compliance audit and regulatory review support based on the applicable regulatory framework and agreed scope.
Yes. We assist eligible applicants with regulatory and compliance requirements relating to Research Analyst, Investment Adviser and Portfolio Manager registration.
Yes. Our ongoing compliance support can include compliance monitoring, regulatory updates, periodic reviews, filings, documentation and audit preparation.
Yes. We provide compliance-oriented website development and review covering applicable regulatory disclosures, Investor Charter, fee information, risk disclosures and related investor-facing information.
Yes. Our inspection-readiness services can include documentation review, gap assessment, remediation planning and mock audit/review.
Need Expert SEBI Compliance Support?
From registration and compliance framework setup to ongoing compliance, annual audits and regulatory readiness, KP RegTech provides structured regulatory support for Research Analysts, Investment Advisers, Portfolio Managers and other regulated businesses.