Post by CS Harsh Goel

EVERY COMPLIANCE LAPSE STARTS WITH ONE MISTAKE. EVERY STRONG COMPLIANCE CULTURE STARTS WITH ONE INFORMED EMPLOYEE. In the securities market, compliance is not limited to the Compliance Officer or the Principal Officer—it is the responsibility of every employee interacting with clients. To strengthen internal controls, we at PROBAY™ Limited have prepared a "Research Services – Do's & Don'ts for Employees" quick reference guide covering some of the most critical requirements under the SEBI (Research Analysts) Regulations, including: ✅ Correct client onboarding sequence (Agreement + MITC → Payment → KYC → Research Report) ✅ Permitted modes of fee collection ✅ Clear distinction between the roles of the Sales Team and the Research Team ✅ Prohibition on free trials, assured returns, and unauthorized research communication ✅ Record maintenance obligations ✅ Employee trading restrictions and blackout period requirements ✅ Escalation process for research-related client queries A simple one-page document can significantly reduce compliance risks when every employee understands what they should do and must never do. Strong compliance is not achieved through lengthy policies alone—it is built through continuous awareness, training, and disciplined execution. What steps has your organization taken to ensure that every employee understands their regulatory responsibilities? #SEBI #ResearchAnalyst #Compliance #ComplianceCulture #CapitalMarkets #InvestorProtection #CorporateGovernance #FinancialServices #NISM #RiskManagement #ResearchAnalystRegulations