Case Study - Research Analyst

compliance to securities exchange board research analyst regulations

ANB has helped a leading financial house to review its existing business structure and suggest measures to meet requirements on Securities Exchange Board governing Research Analyst Regulations, 2014.

client brief


The client is a large financial conglomerate and offers a diverse range of services including investment banking, equity capital markets, institutional equities, private wealth management and asset management. One of the segments of its equity capital market division is the Research Analyst division.

business needs


Internal control systems implemented for business processes play an important role in efficient conduct of business & client servicing. The client realized the importance of reviews in order to evaluate the efficacy of internal control mechanisms currently implemented for its research division as well as for ensuring compliance to Securities Exchange regulations governing Research Analyst.

challenges


The research analyst regulations were not regulated till Securities Exchange board issued Research Analyst Regulations.Prior to the regulations the research divisions were primarily driven by internal practices which had no precedents or stand-ardization in the industry. Hence, the client wanted to ensure that they meet the compliance requirements laid down by the regulations at the same time strengthen the internal controls

solution approach


The research analyst regulations were not regulated till Securities Exchange board issued Research Analyst Regulations.Prior to the regulations the research divisions were primarily driven by internal practices which had no precedents or stand-ardization in the industry. Hence, the client wanted to ensure that they meet the compliance requirements laid down by the regulations at the same time strengthen the internal controls

Following approach was adopted for the project:

Preparing regulatory universe regulator-wise & license-wise

the approach adopted for review was


ANB with its qualified personnel and vast domain expertise in financial industry help meet the client its end objective of the project scope:

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