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NISM Certifications · NISM-Series-XV: Research Analyst · Introduction to Research Analyst Profession

A research analyst registered with SEBI wants to ensure that the firm's compliance with the Regulations is monitored independently. Which of the following requirements applies to a research entity under the Regulations?

A research entity must appoint a compliance officer who monitors compliance with the Regulations and reports any violation. SEBI does not pre-approve reports, does not require analysts to be chartered accountants, and does not ask for every report to be filed with the stock exchange.

  1. AAppointing a compliance officer to monitor compliance with the Regulations and to report any violationCorrect
  2. BObtaining prior SEBI approval for every research report before publication
  3. CEmploying only analysts who hold a chartered accountancy qualification
  4. DFiling every research report with the stock exchange within one day

Explanation

The Regulations require a research analyst or research entity to appoint a compliance officer who monitors compliance and reports violations. SEBI does not pre-approve reports, there is no mandate for only CA analysts, and reports need not be filed with exchanges.

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