Compliance Audit Status

Transparency in our regulatory compliance

Current Compliance Status

SEBI Registration

Compliant

Valid SEBI registration as Investment Adviser

Last Verified: December 2024

KYC Compliance

Compliant

All client KYC records maintained as per regulations

Last Verified: December 2024

Advisory Documentation

Compliant

Proper documentation of all advisory services

Last Verified: December 2024

Fee Structure Disclosure

Compliant

Transparent fee disclosure to all clients

Last Verified: December 2024

Grievance Redressal

Compliant

Active grievance mechanism in place

Last Verified: December 2024

Conflict of Interest

Compliant

No undisclosed conflicts of interest

Last Verified: December 2024

Record Maintenance

Compliant

All records maintained for statutory period

Last Verified: December 2024

Client Communication

Compliant

Regular and transparent client communication

Last Verified: December 2024

Audit Reports

Request Full Report

Internal Compliance Audit - 2024-25

Period:

Q3 (Oct-Dec 2024)

Audit Date:

January 15, 2025

Status:

Completed

Key Findings: No major non-compliance observed

Internal Compliance Audit - 2024-25

Period:

Q2 (Jul-Sep 2024)

Audit Date:

October 10, 2024

Status:

Completed

Key Findings: All SEBI guidelines followed

Internal Compliance Audit - 2024-25

Period:

Q1 (Apr-Jun 2024)

Audit Date:

July 15, 2024

Status:

Completed

Key Findings: Minor documentation updates completed

Annual External Audit - 2023-24

Period:

Annual Audit

Audit Date:

April 30, 2024

Status:

Completed

Key Findings: Clean audit report with full compliance

Our Compliance Framework

Regular Audits

Quarterly internal compliance audits and annual external audits to ensure continuous compliance

  • Quarterly internal reviews
  • Annual external audits
  • Surprise compliance checks

Regulatory Monitoring

Continuous monitoring of SEBI circulars and regulatory updates to ensure timely compliance

  • Daily regulatory updates
  • Compliance training
  • Policy updates

Documentation

Comprehensive documentation of all compliance activities and client interactions

  • Client records
  • Advisory documentation
  • Audit trail maintenance

Key Compliance Metrics (2024)

100%

Client KYC Compliance

0

Regulatory Penalties

100%

Timely Filings

4

Compliance Audits Completed

Certifications & Registrations

SEBI Registration

Registration No. INA000019354
Category Investment Adviser
Issued By SEBI
Valid From July 2, 2024
Status Active

NISM Certification

Certification Series X-A: Investment Adviser
Certificate No. NISM-201700025472
Exam Date December 27, 2023
Valid Until December 26, 2026
Status Valid

Questions About Our Compliance?

Contact our compliance officer for any questions regarding our audit status

compliance@marketproadvisory.com +91 97253 91258