Compliance Document Management for SEBI Research AnalystsFinuro keeps the documents a SEBI-registered practice needs in one place: KYC documents fetched from the KRA, e-signed MITC and agreements, consent PDFs, research reports and GST invoices, each linked to the client or recommendation it belongs to, with bulk downloads when an audit needs them.  DOCUMENTS Which documents does Finuro keep together?The paperwork of an advisory practice, linked to the records it belongs to. KYC documentsFetched from the KRA using the client's date of birth and reference number. Agreements and consentE-signed MITC and agreements, plus manual consent PDFs. Research reportsUploaded, generated or built from CSV, attached to each recommendation. InvoicesGST invoices for every payment, downloadable by month. WHY IT MATTERS Why centralise compliance documents?Documents spread across email, drives and phones go missing exactly when you need them. One place to lookDocuments sit on the client or recommendation they belong to. No missing filesDocuments are created inside the flow, not saved by hand afterwards. Quick audit packsBulk downloads and exports replace manual collection. Controlled accessRoles decide who on your team can see client documents. How documents are keptStep 1 Created in the flowKYC, e-sign, reports and invoices are produced as you work. Step 2 Linked to recordsEach document is attached to its client or recommendation. Step 3 Found in secondsOpen the client or call to see its documents. Step 4 Downloaded in bulkExport a month of documents or invoices at once. Who needs centralised documentation?SEBI-registered research analysts and investment advisers handle KYC documents, client agreements, consent records, research reports and invoices for every client. Practices that keep these in email, shared drives and phones spend days collecting them for every audit. Documents a practice is expected to keepClient KYC, agreements and terms accepted by clients, research reports and the basis for recommendations, risk profiling records for investment advisers, and fee and invoice records. Retention periods and the full list are set by SEBI's regulations and circulars; see record retention for more. How Finuro organises documentsOn the client recordKYC documents fetched from the KRA, e-signed MITC and agreements, manual consent PDFs and the client's invoices are all reachable from the client. On the recommendationEach research report is attached to the call it supports, with its report month, alongside the rationale and technical chart. In the transaction ledgerEvery payment has its GST invoice, and a month of invoices can be downloaded at once. For learnersCourse completion certificates are generated as PDFs for each learner. Getting documents outBulk-download a month of KYC and MITC e-sign documents, download a month of invoices, or export the customer list with KYC status and document links. Common use casesAn annual auditDownload the year's invoices month by month, the e-sign documents, and the recommendation export with reports. A client asks for their documentsOpen their record to find their agreement, consent and invoices. A new compliance officerGive them a role with access to documents and the audit log, without access to publishing calls. Related Finuro features
Frequently asked questionsCommon questions about compliance document management in Finuro. Built for SEBI RAs and IAs Every document, where it belongsKYC, agreements, reports and invoices on the records they relate to, ready for audit. |
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