Series XVMediumRegulations for Research Analysts

Under the SEBI (Research Analysts) Regulations, for how long must a research analyst preserve records of research reports and recommendations?

AMinimum of 7 years
BMinimum of 3 years
CMinimum of 5 yearscheck_circle
DMinimum of 10 years

Correct answer

C. Minimum of 5 years

lightbulbDetailed Solution

The SEBI (Research Analysts) Regulations, 2014 require a research analyst to maintain records — including research reports, the rationale, and public appearances — for a minimum of five years. Where litigation or proceedings are pending, records must be kept until their conclusion.

Reference: SEBI (Research Analysts) Regulations, 2014.

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