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

Ananya, an individual research analyst, wants to be registered with SEBI as a research analyst. Which combination best reflects a basic requirement of the SEBI (Research Analysts) Regulations, 2014 for an individual applicant?

An individual must have the prescribed professional qualification and the NISM research analyst certification and obtain SEBI registration before providing research services. A PAN and bank account alone are insufficient, and stock exchange membership or mutual fund distributor registration does not substitute for it.

  1. APrescribed professional qualification and NISM research analyst certification, with the entity or individual registered with SEBI before offering research servicesCorrect
  2. BOnly a bank account and PAN, with no qualification requirement
  3. CMembership of a stock exchange as a trading member
  4. DRegistration as a mutual fund distributor alone

Explanation

Individuals must hold the prescribed educational qualification and the NISM research analyst certification, and must obtain SEBI registration before acting as research analysts. Stock exchange membership and AMFI distributor registration are not substitutes, and a PAN alone is not enough.

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