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S No. | Financial Year | Audit Status | Remarks, if any |
|---|---|---|---|
1. | 2024-2025 | Completed | As per the audit report certain compliance gaps were noted in areas such as regulatory reporting, maintenance of required records, internal controls, client onboarding documentation, and prescribed disclosures related to research activities. Observations were also made regarding qualification requirements, monitoring of personal trading by research personnel, documentation supporting research reports, and publication of mandatory investor information. These matters primarily relate to process and system updates. We have already initiated corrective measures and we are implementing enhanced controls, documentation standards, and governance frameworks to ensure full alignment with SEBI Research Analyst Regulations on an ongoing basis. |
