Compliance Audit Status
Under Regulation 25(3) of the SEBI (Research Analysts) Regulations, 2014, a Research Analyst shall conduct an annual audit in respect of compliance with the regulations from a member of the Institute of Chartered Accountants of India (ICAI) or Institute of Company Secretaries of India (ICSI).
Saanvi Research maintains an unblemished regulatory audit track record. The annual compliance audit evaluates adherence to analytical independence, research report disclosures, conflict management, record retention, investor grievance handling, and PMLA requirements.
| Sr. No. | Financial Year (FY) | Audit Period | Audit Completion Status | Any Adverse Comments |
|---|---|---|---|---|
| 1 | 2024–25 | April 01, 2024 – March 31, 2025 | Completed / Complied | Nil (No adverse observations) |
| 2 | 2025–26 | April 01, 2025 – March 31, 2026 | In Compliance / Current Cycle | Nil (Ongoing oversight) |
Statutory Inspection & Access Note
Since SEBI Research Analyst registration (INH000029980) was granted on Sep 07, 2026 with perpetual validity, the compliance audit will be conducted annually as per Regulation 25(3). The Audit Reports for the respective financial years are available on demand and can be furnished to the Investor or Regulatory Authority upon request.