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TMI BlogPeriodic reporting format for Research Analysts and Proxy AdvisersX X X X Extracts X X X X X X X X Extracts X X X X ..... f the RA Regulations , all the provisions of Chapter II , III , IV , V and VI shall apply mutatis mutandis to the proxy advisers (PAs). It has been decided to specify a standardized format for periodic reporting for RAs and PAs. 2. SEBI has recognized BSE Limited as Research Analyst Administration and Supervisory Body ( RAASB ) for the purpose of administration and supervision of RAs under regulation 14 of the RA Regulations . Consultative process for development of periodic reporting format 3. Based on the recommendations received from Industry Standards Forum ( ISF ) for RAs (including PAs), a consultation paper on Periodic reporting format for Research Analysts and Proxy Advisers was published on August 9, 2024 and was open for public co ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... cise of powers conferred under Section 11(1) of the Securities and Exchange Board of India Act, 1992 read with Regulation 14 , Regulation 23(1) and Regulation 24(4) of the RA Regulations to protect the interests of investors in securities market and to promote the development of, and to regulate the securities market. 9. This circular is available on SEBI website at www.sebi.gov.in under the categories Legal Circulars , Info For Research Analysts . Yours faithfully, Aradhana Verma General Manager Tel. No: 022-26449633 E-mail: [email protected] Annexure I Periodic Reporting Format for Research Analysts Table-1 General Details of Research Analyst (RA) for the Half year ended on (DD/MM/YYYY) Sr. No. Particulars Details 1 Registered Name of ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... directors/partners) Director-1/ Partner-1 Director-2/ Partner-2 Director-3/ Partner-3 Name PAN Date of Birth (DD/MM/YYYY) DIN (not applicable for partnership) 22 Shareholding Pattern (provide details of shareholders having a holding of 10% or more) Shareholder1 Shareholder-2 Shareholder3 Name of shareholder Number of shares % of shareholding 23 Total number of persons employed as Research Analyst (please refer to the definition of research analyst as provided under Regulation 2(1)(u) of SEBI (Research Analysts) Regulations, 2014) 24 NISM certification details (provide details of all such persons side by side) Specify for each person (whether individual RA/ Individuals employed as RA/ Partner of an RA) Name Person-1 Person-2 Person-3 Email I ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... geing details of complaints pending at the end of the period Total number of complaints pending for up to 21 days (a) Number of complaints pending from 22-90 Days (b) Number of complaints pending for more than 90 Days (c) 6 Average Complaint resolution time (Average complaint Resolution time is the sum total of time taken to resolve each complaint in days, in the concerned half year period divided by total number of complaints resolved in the said half year period.) 7 Break-up of type of complaints received during the period Grievances related to recommendations Issues related to fees charged Inadequacy/ issues related to services Promise of assured returns Other (please specify) Table-3 Details of Clients and Fees for the Half Year ended o ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... nt-2 Bank Account-3 Name as per Bank Account Account No. Type of account IFSCode Bank Name Bank Branch Name 16 Details of Contact Person Name Date of Birth (DD/MM/YYYY) Mobile Email id 17 Details of Compliance Officer Name Date of Birth (DD/MM/YYYY) Mobile Email id 18 Details of Managing Director/ Managing Partner Name PAN Date of Birth (DD/MM/YYYY) DIN (not applicable for partnership) Mobile Email id 19 Details of other directors/ partners (List of directors/partners) Director-1/ Partner-1 Director-2/ Partner-2 Director-3/ Partner-3 Name PAN Date of Birth (DD/MM/YYYY) DIN (not applicable for partnership) 20 Shareholding Pattern (provide details of shareholders having a holding of 10% or more) Shareholder1 Shareholder-2 Sharehold er-3 Name ..... X X X X Extracts X X X X X X X X Extracts X X X X
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