FOR SEBI-REGISTERED RAs AND IAs Could your firm pass a SEBI inspection tomorrow?An inspection or annual audit asks for every recommendation with its rationale, every client's KYC and signed agreement, and proof of what you sent and when. If the honest answer is "give us a week to find it", the records live in too many places. ā Timestamped callsā Consent on recordā Bulk downloadsā Audit log THE AUDITOR IS ASKING FOR š“ The rationale behind each call this year š Signed agreement and MITC for every client š“ KYC and risk profile records š Proof of who received which recommendation š“ Invoices for every fee collected ā With Finuro: each one is already on record, ready to export. SOUND FAMILIAR? Audit week at most advisory firmsThe work was done properly. Proving it is the hard part. Day 1 "Send us the rationale for these calls"The reports are spread across laptops, email drafts and Telegram posts. Day 1 "Which clients signed the current agreement?"Some signed on paper, some by email, and some never got the update. Day 2 "Show us what was sent and when"Chat history is the only proof, and one phone was replaced last month. Day 2 "Who changed this recommendation?"Three people share one login, so nobody can say. Day 3 "We need the client list with KYC status"It takes a full day to stitch together from spreadsheets. Every year The annual compliance auditAnd the same scramble starts again. Compliance should be a by-product, not a project.When every call, consent and invoice is recorded as the work happens, audit prep becomes a download instead of a month of digging. RECORDS THAT BUILD THEMSELVES Every step leaves a recordYou run the practice. Finuro keeps the evidence as you go. 1 Client onboardedKRA check, PAN lookup and risk profile saved to the client record. 2 Agreement signedMITC and agreement e-signed with Aadhaar or email OTP, consent stored. 3 Call publishedEntry, target, stop-loss, rationale and report, timestamped. 4 Call deliveredDelivery logs for email, WhatsApp and Telegram. 5 Call updated or closedUpdates and the outcome are added to the same record. 6 Fee invoicedGST invoice attached to the client and the payment. 7 Changes loggedThe audit trail shows who changed what, and when. 8 ExportedExcel exports and bulk document downloads for the auditor. BEFORE AND AFTER From audit panic to always audit readyThe same records, kept in one place instead of ten. 01 Rationales scattered across files and chats ā Rationale and report stored with each timestamped call 02 Screenshots as proof of delivery ā Delivery logs for every call on every channel 03 Agreements in folders, inboxes and paper files ā Agreements and consent on each client record 04 A KYC tracker kept by hand ā Client export with KYC status and document links 05 No idea who edited a call ā An audit log of every create, change and delete 06 Track record rebuilt for every request ā Success rate, P&L and accuracy ready for PaRRVA HOW FINURO HELPS The Finuro features behind audit-ready recordsEach one records evidence as part of the normal work. See every feature ā RationaleAudit Recommendation recordsLevels, rationale, report, updates and outcome for every call, with Excel export. ComplianceAudit SEBI record keepingEvery recommendation logged, delivery archived and consent tracked, ready for audit. MITCConsent Client consent recordsMITC and agreements e-signed with Aadhaar or email OTP, plus manual consent PDFs. DocumentsBulk download Compliance documentsKYC documents, agreements, consent PDFs, reports and invoices on each client record. Audit log Audit trailWho created, changed or deleted recommendations, plans and settings, and when. Delivery logs Communication recordsDelivery logs for every call on email, WhatsApp and Telegram, and inbox message logs. Retention Record retentionRecommendations, agreements, documents and invoices kept available to export. AnalyticsPaRRVA Performance analyticsSuccess rate, net P&L, accuracy and hold time across every call, ready for PaRRVA. TeamSecurity Team roles and permissionsPresets from viewer to manager, a permission matrix by module and an audit log. COMPARE Audit prep: spreadsheets vs. FinuroWhat auditors ask for, and where you find it. FAQ Questions, answeredAUDIT READY Make your next audit a downloadBook a demo and see how Finuro records evidence as your team works, from onboarding to the last call of the year. |
Book a Demo
See how Finuro handles onboarding, recommendations, model portfolios, and billing for your advisory firm. Tell us a little about your practice and we'll walk you through the platform on a live call.