SEBI Compliance Checklist

Operate within securities regulations

SEBI Compliance Checklist
Operate within securities regulations
ℹ️ About this tool

Builds a SEBI compliance checklist for a broking or securities intermediary — registration, KYC/CKYC, risk disclosure, margin norms, client-funds segregation, reporting, grievance redressal and advertising — with periodic obligations and a list of prohibited practices (unauthorised advice, mis-selling, guaranteed returns). Use this as your standing compliance rulebook.

📄 Free guide — what this is, how to use it & cautions

Fill in each detail below as completely and accurately as you can — the more you provide, the more precise and ready-to-use your output will be. * marks required fields.

Your registration category — it changes which obligations apply.
The market segments you operate in.
Determines segregation and settlement obligations.
Any area you want detailed. Leave blank for a full checklist.

Delivery & Payment Details

Used for your receipt. Your result appears on-screen and is downloadable as Word & PDF.

Order Summary

SEBI Compliance Checklist₹83.90
GST 18%₹15.10
Total₹99.00

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