SEBI-Compliant Advisory System
Smart tools to help RAs, RIAs, and PMS stay compliant, efficient, and client-ready — all in a branded portal.
User Access Control
Scoring Dashboard
Auto Renewal Logic
PAN/KYC Integration
Why SEBI-Compliant Systems Are Essential for Every Registered Entity
Compliance is not optional — it's the foundation of trust, transparency, and continued advisory success in India's regulated financial ecosystem.
🔐 Regulatory Mandates Are Growing
With SEBI regularly issuing circulars and inspection mandates, every Research Analyst (RA), Investment Adviser (IA), and Portfolio Manager (PMS) must be audit-ready at all times. A compliance system helps ensure that every transaction, document, and recommendation is verifiable, timestamped, and traceable.
📜 Rationales & Record-Keeping
SEBI requires every recommendation to be backed by a rationale. Manual methods (PDF logs, Excel sheets) are outdated and error-prone. Our dynamic logging tool ensures that rationales are captured during advisory actions — stored securely, and easily accessible for inspection.
📄 Transaction Logs & Data Backup
Each client interaction — from KYC to recommendation to payment — must have a corresponding audit trail. Our system captures all of this automatically. No need to maintain scattered Excel records or paper invoices. It's all encrypted, backed-up, and cloud-secured.
📝 Aadhaar eSign Integration
As per IT Act and SEBI digital documentation expectations, getting paperless consent is now essential. Aadhaar-based eSign allows secure signing of risk disclosure, onboarding forms, and investment contracts — fully SEBI-compliant, and legally binding.
🧾 PAN Verification & Dynamic KYC
Every client’s identity must be verified before subscription. Our real-time PAN verification checks government databases and flags issues instantly. Combined with KYC document vaults, you always remain compliant — with no delays in onboarding.
📊 Auto Subscription Logic + Escalation Matrix
Our subscription engine auto-activates or disables client accounts based on payment, KYC status, and checklist items. It also triggers internal escalation workflows for incomplete rationales or overdue renewals — reducing human errors and regulator risk.
🌐 White-Label Domain for Every Advisor
You are not just a user — you’re the brand. We empower each SEBI-registered advisor with their own custom domain (e.g., yourbrand.optumflex.in) where clients can log in, receive reports, upload documents, and sign digitally. Fully controlled by you.
✅ SEBI Scorecard & Monitoring Dashboard
Gain access to a real-time compliance health score. Our internal dashboard monitors advisory performance, rationale completion rate, document approvals, and alert frequency — giving you the data to improve, grow, and remain 100% audit-secure.