Please Note: We Capitalize is a brand name and does not represent a separate legal entity. All research services are rendered by Gowtham Kumaresh, SEBI Registered Research Analyst, Registration No. INH000028981.
1. Overview
Research Analysts are required to conduct an annual audit in respect of compliance with the SEBI (Research Analysts) Regulations, 2014, and applicable SEBI circulars. The status of our audits is summarised in the table below.
What is the annual compliance audit? It is a mandatory independent review that verifies a Research Analyst's adherence to the SEBI (Research Analysts) Regulations, 2014, and all applicable SEBI circulars — covering areas such as record-keeping, client onboarding, disclosures, and grievance handling. The annual compliance audit must be completed within six months from the end of each financial year. The audit report must be submitted to RAASB/SEBI within one month from the report date. The website must publish the audit status and any adverse findings together with the action taken, and the completed report must be provided to clients.
2. Annual Compliance Audit Status
Compliance audit status by financial year is shown below. Any adverse findings, together with the action taken, will be published here after completion. Completed compliance audit reports will be provided to clients in accordance with applicable SEBI requirements.
| Financial Year | Audit Status | Adverse Findings / Action Taken |
|---|---|---|
| FY 2026–27 | To be conducted — completion due by September 30, 2027 | Not applicable — the audit has not yet been conducted. |
This table will be updated after each audit is completed to publish the audit status, any adverse findings, and the corresponding action taken. Completed compliance audit reports will be provided to clients in accordance with applicable SEBI requirements. For audit-related information, please contact us.