Your SEBI compliance,
sorted.
Trading blackout tracking, RAASB deadline alerts, and one‑click audit packs — built specifically for individual Research Analysts who want to stay clean without the overhead.
Launching Q3 2026 · No credit card required · Join RAs already on the waitlist
Trading Blackout Active
You published “HDFC Bank Q1 Analysis” on 14 Jun. Blackout: 15 May – 19 Jun.
Upcoming deadlines
2,052
Registered RAs in India
SEBI live registry, June 2026
₹1L–₹10L
FD deposit mandatory
Based on your client count
12+
Annual compliance deadlines
Per year, tracked by RAASB
5 years
Audit paper trail required
Regulation 25 retention rule
The Reality
Most RAs manage SEBI compliance in WhatsApp reminders and spreadsheets.
Individual Research Analysts carry the full compliance burden alone. When something slips, it's your certificate — and your livelihood — on the line.
Trading blackout violations
Regulation 16 requires you to stop trading in any security 30 days before you publish research on it, and for 5 days after. One lapse gets written into your audit file — and SEBI can see every audit file.
Missing RAASB deadlines
You must file half-yearly reports with RAASB (BSE portal) by April 30 and October 30 every year. There is no grace period. Missing a deadline can result in SEBI restricting your certificate.
The September audit scramble
Your CA, CS, or Cost Accountant must complete the annual audit by Sep 30, and you must file their report with RAASB by Oct 31. Adverse findings are published publicly on the RAASB website.
FD deposit slab surprises
SEBI mandates a fixed deposit lien that scales with your client count. Cross 150 clients and your required FD jumps from ₹1L to ₹2L overnight. Most RAs discover this at audit time, not when it happens.
SEBI Enforcement — Public Record
These cases are not hypotheticals.
Every SEBI enforcement order is published at sebi.gov.in. The three below involve individual Research Analysts, in the past 12 months, for violations that a compliance tool would have caught.
₹17 lakh
Individual RA, Pune · January 2025
Skipped the mandatory annual audit for 8 consecutive years. The RA believed the requirement did not apply to individual registrants. SEBI disagreed — and published the order.
Read on Moneylife₹7 lakh
Individual RA, Chennai · October 2024
390 clients onboarded via Telegram. At audit time, only 38 had valid KYC records. The RA had also been promising guaranteed returns in private messages.
Read on Moneylife₹6 lakh
Eqwires Research Analyst · August 2025
Published fabricated client testimonials. Marketed research as "investment advisory" while holding only RA registration. Both violations are routine audit findings.
Read on MoneylifeSource: Moneylife reporting on SEBI adjudication orders. Find adjudication orders at sebi.gov.in →
How it Works
From setup to audit-ready in under a week.
Set up your practice profile
Tell ComplianceOS your RA registration details, client count, and the types of research you publish. Takes five minutes.
Log research as you publish it
When you publish a report or make a public appearance, log it in ComplianceOS. It automatically calculates blackout periods, tags securities, and files the record.
Stay audit-ready, year-round
ComplianceOS tracks every deadline, generates required disclosures, and packages your full annual audit bundle with one click. No last-minute scrambles.
The Platform
Every SEBI obligation. One platform.
ComplianceOS covers the full regulatory surface area for Research Analysts — not just reminders, but actual generation and storage of required documents.
Compliance Calendar
Every SEBI and RAASB deadline for your practice, pre-loaded and auto-updated. Get alerts 30, 14, and 7 days before each deadline.
Trading Blackout Calendar
Enter a security and publication date — ComplianceOS calculates your exact 30+5 blackout window and blocks trades automatically with calendar integration.
Auto-Disclosure Generator
Generate all 12 required disclosure fields for each research report. Export as a signed PDF with digital signature (Reg 25(2) compliant via Digio).
Research Report Vault
Store and retrieve every research report with metadata — publication date, covered securities, disclosures, and revision history. 5-year retention, audit-ready.
Public Appearance Log
Log every media appearance, TV interview, or social media post where you make research calls. Timestamped and exportable for annual audit submission.
Annual Audit Pack
One click generates a complete audit bundle: reports, disclosures, appearance log, compliance checklist, and signed declarations — ready to hand to your CA/CS.
Compliance Calendar
Your 2026–27 compliance calendar, built in.
Every deadline pre-loaded from SEBI Master Circular (June 2025) and RAASB guidelines. Never manually track a regulatory date again.
Monthly complaint data — July 7, 2026
Must be published on your website each month · Reg 22 · 18 days away
NISM staff certification — July 23, 2026
All associated persons must be NISM-certified · SEBI circular Jul 2025 · 34 days away
Sources: SEBI Master Circular (Jun 27, 2025), RAASB Half-Yearly Report Circular, SEBI RA FAQ Circular (Jul 23, 2025)
Pricing
Simple, transparent pricing.
No setup fees, no per-report charges. Early access subscribers get founding member pricing locked in permanently.
Solo RA
For individual Research Analysts with a single registration.
- Full compliance calendar
- Trading blackout tracker
- Auto-disclosure generator
- Research report vault (5-year)
- Public appearance log
- Annual audit pack
- RAASB report reminders
- Email support
Growing Practice
For RAs with support staff or multiple associated persons.
- Everything in Solo RA
- Up to 3 team members
- NISM certification tracker (all staff)
- Internal policy generator (Reg 15)
- Client MITC management
- Complaint tracker (SCORES)
- Priority support
RA Firm
For firms with multiple analysts and institutional clients.
- Everything in Growing Practice
- Unlimited team members
- FD deposit monitor
- Client onboarding + MITC flow
- Multi-RA report vault
- Dedicated onboarding
- Phone support
Founding member pricing locked permanently for early access signups · 30-day free trial after launch
What exactly is a "Research Analyst" under SEBI regulations?
A SEBI Research Analyst (RA) is any individual or entity that publishes research reports or makes buy/sell/hold recommendations on securities — including technical analysts who cover individual stocks (FAQ 5, July 2025 circular). If you run a paid Telegram channel with stock calls, you almost certainly need RA registration.
Does ComplianceOS help with RAASB registration itself?
ComplianceOS is a compliance management tool for RAs who are already registered. We do not assist with the initial SEBI registration process (application fee: ₹2,000; registration fee: ₹3,000 for individuals). Your registration is valid until cancelled — there is no renewal, only a 5-year continuation fee.
How does the trading blackout tracker actually work?
When you log a research report in ComplianceOS, you specify the covered securities and publication date. ComplianceOS automatically calculates the blackout window (30 days before publication + 5 days after) for each security per Regulation 16. You get alerts if you have any pending trades or demat activity during that window.
Is digital signature support included?
Yes. Regulation 25(2) mandates digital signatures on all electronic records. ComplianceOS integrates with Digio for legally valid digital signatures on all generated documents — research reports, disclosures, and audit submissions.
Who counts as a "client" for the FD deposit calculation?
SEBI includes both fee-paying and non-fee-paying recipients. If you have a free Telegram channel with 200 subscribers who receive your research, all 200 count toward your deposit slab. SEBI FAQ 15 (July 2025) clarified this explicitly. The slabs: ≤150 clients → ₹1L, 151–300 → ₹2L, 301–1,000 → ₹5L, 1,001+ → ₹10L.
When will ComplianceOS launch?
We are targeting Q3 2026. Founding members who join the waitlist now will get early access, onboarding support, and founding member pricing locked permanently. We will reach out to the waitlist before any public launch.
Early Access
Be audit-ready before your CA calls you.
Join the waitlist. Founding members get early access, onboarding support, and pricing locked permanently.
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