Annual Compliance Audit Report
Pursuant to Regulation 25(3) of the Securities and Exchange Board of India (Research Analysts) Regulations, 2014, a Research Analyst is required to conduct an annual audit in respect of compliance with the certification and qualification requirements, maintenance of records, and operational conduct.
| Particulars | Compliance Details |
|---|---|
| Registered Entity Name | ROHAN JAIN (Proprietor of Caplify Research) |
| SEBI Registration Number | INH000017073 |
| BSE RA Enlistment Number | 6246 |
| Type of Registration | Research Analyst (Individual / Sole Proprietor) |
| Statutory Audit Requirement | Regulation 25(3) of SEBI (Research Analysts) Regulations, 2014 |
| Audit Status | Compliant. The annual compliance audit has been duly initiated and maintained in accordance with SEBI guidelines and regulatory directives. |
| Maintenance of Records | All research reports, rationales, client agreements, KYC verification logs, and communication archives are preserved for the mandatory minimum retention period. |
Compliance Contact
For inquiries regarding regulatory audit reports or compliance certificates, please contact:
- Compliance Officer: Rohan Jain
- Email: support@caplifyresearch.in
- Support Phone: +91 9986492231
- Office: Caplify Research, A-13 & 14, TF, Jhilmil Colony, Delhi-110095