SEBI Registration Details
Apex Research Advisory
Registration granted by SEBI and certification from NISM in no way guarantee performance of the intermediary or provide any assurance of returns to investors.
Registration Information
| Entity Name | Apex Research Advisory Pvt. Ltd. (Dummy Name: [Entity Name XXXX]) |
|---|---|
| Corporate Identity (CIN) | UXXXXXMH2023PTCXXXXXX |
| SEBI Registration Number | INH000XXXXXX |
| Registration Type | Non-Individual / Corporate (Research Analyst) |
| Validity of Registration | Perpetual (Subject to SEBI compliance & fee renewal) |
| RAASB / BSE Enlistment No. | RAASB-XXXXXX (BSE Enlistment: BSE-RA-XXXXXX) |
| Registered Office Address | Office No. XXX, XX Floor, Business Park, City - XXXXXX, Maharashtra, India |
| Contact Phone | +91 XXXXX XXXXX |
| Official Email | info@apexresearch.in / compliance@apexresearch.in |
Key Personnel & NISM Certification
| Principal Officer | [Principal Officer Name XXXX] |
|---|---|
| NISM Certification | NISM Series-XV: Research Analyst Certification |
| NISM Certificate No. | NISM-2023-XXXXXX (Valid till: XX/XX/20XX) |
| Contact Email | principal.officer@apexresearch.in |
| Contact Number | +91 XXXXX XXXXX |
| Compliance Officer | [Compliance Officer Name XXXX] |
|---|---|
| Contact Email | compliance@apexresearch.in |
| Contact Number | +91 XXXXX XXXXX |
Annual Compliance Audit Findings
Under SEBI (Research Analysts) Regulations, 2014, an annual compliance audit is conducted by an independent chartered accountant to verify regulatory compliance and internal systems.
| Audit Period | Financial Year 2023-2024 (FY 23-24) |
|---|---|
| Independent Auditor | M/s [XXXX & Co., Chartered Accountants, FRN: XXXXXX] |
| Audit Certificate Ref. No. | AUD/2023-24/XXXX |
| Audit Status & Findings | Compliant — No material non-compliances or adverse findings reported. |
Record Retention & Digital Archival Policy
In strict accordance with SEBI RA Regulations and operational guidelines, Apex Research Advisory maintains an active digital archive of all published research reports, underlying analytical data, client communications, risk profiling forms, and compliance logs for a mandatory minimum period of 5 years.
Verification
You can verify our registration details directly on the Securities and Exchange Board of India (SEBI) portal: