How does a SEBI RA or IA change its address, name, principal officer or control?

5 min read

IA and RASEBI registration

Each change goes to BSE by email with its own checklist, signed documents and a declaration of the last SEBI fee paid. A change in control needs SEBI's approval before it happens. A change of name or registered address brings a fresh certificate, and clients are told within 15 days of it.

Want this checked against your own position? We handle the documentation and the filing.

Both sets of regulations make you tell SEBI at once of any material change in the information you gave when you registered. For RAs and IAs that goes through BSE. You email the documents as PDFs on your letterhead, signed, with BSE's Excel checklist for that change, to ra.membership@bseindia.com or ia.membership@bseindia.com. BSE caps each email at 6 MB and each document at 2 MB. BSE scrutinises the filing and SEBI approves it.

What each change needs

Change	Approval or intimation	Main documents	Timeline
Change in control	SEBI's approval before the change	Board resolution, shareholding before and after, the acquirer's undertaking in SEBI's format, past actions, pending complaints, litigation	Approval is valid for six months, and fresh registration is filed within that time
Address	Application	Old and new address, board resolution, the original certificate to SEBI if it shows the address	For a registered-address change, clients told within 15 days of the new certificate
Name	Application	Individual: PAN, Gazette copy and newspaper notice. Company or LLP: new certificate of incorporation and PAN. Firm: revised deed. Original certificate to SEBI	Clients told within 15 days
Principal officer	Intimation with the checklist	Board resolution, PAN, qualification, NISM certificate, fit and proper declaration	No day count in BSE's checklist
Compliance officer	Intimation with the checklist	Fit and proper declaration, economic-offence history, NISM certificates for an outside professional	No day count in BSE's checklist
Surrender	Request to SEBI	Newspaper notice pointing clients to SCORES, mandates closed, pending complaints, a declaration of continuing liability	File with BSE no sooner than 30 days after the newspaper notice

From BSE's post-enlistment checklists for research analysts and investment advisers, read 4 November 2026.

An individual IA who crosses 300 clients or ₹3 crore in fees tells IAASB immediately and applies for in-principle approval to move to a company or LLP within three months. That route has its own page: converting an individual registration to a company.

Note

BSE's penalty table charges ₹25,000 for a change in control without prior approval and ₹5,000, then ₹10,000, for a material change not told to SEBI.

Our view: a change in control is the one that catches firms out, because a share transfer or a new investor can count, depending on the facts. Ask before you sign the share purchase. For the paperwork on any of these, see post-registration changes.

Sources

We handle the documentation and filing: Post-registration changes

Sources read on 4 November 2026. SEBI revises these requirements, so we re-confirm every figure against the current circular before it goes into an application.

BuildWright Consultants provides documentation, application-drafting, and compliance facilitation for SEBI Investment Adviser and Research Analyst registration. This is not legal advice and does not replace a qualified professional. We are not SEBI and do not guarantee registration outcomes. Eligibility, deposit, fee, and timeline requirements are as prescribed by SEBI from time to time. Every figure we publish names the SEBI document it came from and the date it was read, and we re-confirm it against the current circular during scoping.