SEBI Research Analyst Compliance Calendar 2026-27
Most compliance trouble is not a deliberate breach. It is a missed date. Here is every recurring SEBI obligation a Research Analyst carries, on one page, so you can drop it into your calendar and stop carrying the deadlines in your head. Bookmark it; we keep it current.
Note: General information, not legal advice. Dates and obligations change; confirm each against the current SEBI and RAASB circulars and your own registration.
The calendar
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SEBI Research Analyst Compliance Calendar 2026-27
- Every dated deadline from October 2026 to May 2028 with its rule reference
- The ongoing obligations on one table
- A two-page printable for your desk or your auditor
The one date to anchor to
If you remember only one, make it 31 October. That is the hard deadline for the annual compliance audit report to reach RAASB for the preceding financial year. Brief your auditor by August so there is time to fix anything before the report is finalised.
The continuous obligations are the real work
The dated deadlines are easy to diarise. The continuous ones, record-keeping, disclosures, complaint handling, are where practices actually slip, because they depend on doing the right thing every single time you send a client a note. That is the strongest case for automating the record. When every note is hashed and archived on send, the heaviest continuous obligation runs itself, and the audit in October is a download rather than a reconstruction.
FAQ
What is the most important RA compliance deadline?
The annual compliance audit. It must be completed within six months of financial year-end and the report submitted to RAASB within one month, and in any case not later than 31 October for the preceding financial year. Anchor your calendar to 31 October and work backwards.
How often do I update the complaints disclosure?
Periodically, usually monthly. Refresh the complaints table on your website on a fixed schedule so it never goes stale, since an out-of-date table is an easy inspection finding.
When does my NISM certification need renewing?
The NISM Series XV Research Analyst certification is valid for three years. Renew it before it expires, either through the Series XV-B renewal exam or the CPE program. A lapsed certificate cannot be renewed, so diarise it well ahead of the expiry date.
Which obligations are ongoing rather than dated?
Record-keeping under Regulation 25, conflict and AI disclosures in every report, KYC and agreements at onboarding, fee compliance within the cap, and complaint handling within the SCORES timelines. These run continuously, which is why automating the record-keeping pays off.