Annual compliance audit pack for SEBI investment advisers and research analysts
What does a SEBI investment adviser or research analyst need for the annual compliance audit?
An auditor's working draft, an evidence index, an adverse findings format and the filing dates, filled in for your registration.
- Audit dates and disclosures
- Draft compliance audit report
- Evidence index
- Adverse findings and action taken
- Request for the segregation certificate
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Launch price until 30 November. ₹2,999 after that.
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Regulation 19(3) of the IA Regulations and regulation 25(3) of the RA Regulations require a yearly audit by a member of ICAI, ICSI or ICMAI. The IA Master Circular of 6 February 2026 (para 1(xiv)) and the RA Master Circular of the same date (para 1.14) set the detail. The audit report has to specify each provision it reports on, and the duty starts with the report for the year ending 31 March 2025.
The dates run in a chain. The audit is completed within six months of the financial year end. The report goes to IAASB or RAASB and to SEBI within one month of the report date. Adverse findings, with the action taken approved by the adviser or by management, go within one month of the report date and no later than 31 October for the previous financial year.
The circulars also ask for a client-level segregation certificate on record, the status of the audit on your website, and a copy of the report for your clients. Neither circular prescribes a report format. The pack gives the auditor a draft that lists the provisions to test, leaves status and remarks for the auditor, and indexes the evidence you will hand over. The auditor audits and signs. We prepare the papers.
Fill in your own
₹1,999₹2,999
Launch price until 30 November. ₹2,999 after that.
The adviser
The audit
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BuildWright does documentation, filing and compliance facilitation. This tool works from the rules cited on this page and does not give legal advice. We prepare the documents from your answers; you check, sign and send or file them.
Common questions
Who can sign the annual compliance audit?
A member of ICAI, ICSI or ICMAI. Regulation 19(3) of the IA Regulations and regulation 25(3) of the RA Regulations say so. The pack is the working draft the auditor starts from, and it records the auditor's name and membership number.
When is the audit report due?
The audit is due within six months of the end of the financial year. The report then goes to IAASB or RAASB and to SEBI within one month of the date of the audit report. The pack works out these dates from the year you enter.
What happens to adverse findings?
They go to IAASB or RAASB and SEBI with the action taken, approved by the individual adviser or by management, within one month of the audit report and not later than 31 October. The pack has a format for the finding, the action and who approved it.
Do I need a segregation certificate?
The master circulars require an annual certificate on client-level segregation to be on record and to form part of the audit. Regulation 22 covers investment advisers and regulation 26C covers research analysts. The pack includes the request to send for it.
Can I see the document before I pay?
Yes. Fill in your details and the page shows the first page of each document with your own answers in it. You pay only if it is what you need.
Can I change the document after I download it?
Yes. Each document comes as a Word file you can edit and a PDF you can print. You can also change your answers and prepare it again before you pay.
What if the payment goes through and the documents do not open?
The page checks the payment again and opens the documents on the same payment, so you are never charged twice. If they still do not arrive, write to us within 7 days and we refund the full amount.
Can you send or file it for me?
Yes. After you download, ask us to take the next step and we handle the sending or filing for you.
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