Management of Conflicts of Interest and Disclosure Requirements for Research Analysts on Learn with Akhilesh Gururani /tags/management-of-conflicts-of-interest-and-disclosure-requirements-for-research-analysts/ Recent content in Management of Conflicts of Interest and Disclosure Requirements for Research Analysts on Learn with Akhilesh Gururani Learn with Akhilesh Gururani /images/papermod-cover.png /images/papermod-cover.png Hugo -- 0.147.7 en 2026 Learn with Akhilesh Gururani Fri, 05 Jun 2026 00:00:00 +0000 Decoupling Research from Revenue: Mastering SEBI Regulation 17 /posts/research-analyst-regulation-17-compensation/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-17-compensation/ Regulation 17: Compensation. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Ensuring Clarity: The Necessity of Consistent Rating Definitions /posts/research-analyst-consistency-of-rating-definitions/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-consistency-of-rating-definitions/ Consistency of rating definitions. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Ensuring Integrity: The Mandate for Annual Research Entity Audits /posts/research-analyst-audit-requirements-for-research-entities/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-audit-requirements-for-research-entities/ Audit requirements for research entities. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Ensuring Organizational Independence: The Research Analyst’s Structural Safeguard /posts/research-analyst-organizational-independence-of-research-analysts/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-organizational-independence-of-research-analysts/ Organizational independence of research analysts. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Independence by Design: Structuring Research Analyst Compensation /posts/research-analyst-regulation-17-compensation-structure-for-research-analysts/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-17-compensation-structure-for-research-analysts/ Regulation 17: Compensation structure for research analysts. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Maintaining Independence: The Boundary Between Research and Business Solicitation /posts/research-analyst-restrictions-on-research-analyst-involvement-in-business-solicitation/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-restrictions-on-research-analyst-involvement-in-business-solicitation/ Restrictions on research analyst involvement in business solicitation. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Maintaining Integrity: The Mechanics of Personal Trading Surveillance /posts/research-analyst-monitoring-of-personal-trading-by-research-entities/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-monitoring-of-personal-trading-by-research-entities/ Monitoring of personal trading by research entities. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Managing Conflicts of Interest in Proxy Advisory Services /posts/research-analyst-conflict-of-interest-management-for-proxy-advisors/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-conflict-of-interest-management-for-proxy-advisors/ Conflict of interest management for proxy advisors. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering Client Segregation in Non-Individual Research Entities /posts/research-analyst-client-level-segregation-in-non-individual-entities/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-client-level-segregation-in-non-individual-entities/ Client level segregation in non-individual entities. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering General Responsibilities and Compliance Under SEBI Regulation 24 /posts/research-analyst-general-responsibilities-under-regulation-24/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-general-responsibilities-under-regulation-24/ General responsibilities under Regulation 24. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering Procedural Rigor: SEBI’s Proxy Advisor Guidelines /posts/research-analyst-proxy-advisor-procedural-guidelines/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-proxy-advisor-procedural-guidelines/ Proxy Advisor procedural guidelines. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering Regulation 18: Integrity in Public Appearances and Conduct /posts/research-analyst-regulation-18-limitations-on-public-appearance-and-business-conduct/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-18-limitations-on-public-appearance-and-business-conduct/ Regulation 18: Limitations on public appearance and business conduct. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering Regulation 26A: Navigating Dispute Resolution in Research /posts/research-analyst-regulation-26a-dispute-resolution/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-26a-dispute-resolution/ Regulation 26A: Dispute resolution. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Mastering SEBI Regulation 20: The Anatomy of a Compliant Research Report /posts/research-analyst-regulation-20-contents-of-research-report/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-20-contents-of-research-report/ Regulation 20: Contents of research report. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Compensation Disclosure: The Pillar of Analyst Independence /posts/research-analyst-disclosure-requirements-regarding-compensation/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-disclosure-requirements-regarding-compensation/ Disclosure requirements regarding compensation. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Dispute Resolution: The SCORES Framework and Investor Grievances /posts/research-analyst-dispute-resolution-mechanisms/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-dispute-resolution-mechanisms/ Dispute resolution mechanisms. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Material Conflicts of Interest in Equity Research /posts/research-analyst-material-conflicts-of-interest-disclosure/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-material-conflicts-of-interest-disclosure/ Material conflicts of interest disclosure. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Regulation 16: The Ethics of Analyst Personal Trading /posts/research-analyst-regulation-16-limitations-on-trading/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-16-limitations-on-trading/ Regulation 16: Limitations on trading. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Regulation 18: Protecting Analytical Integrity Against External Pressure /posts/research-analyst-regulation-18-limitations-on-conduct/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-18-limitations-on-conduct/ Regulation 18: Limitations on conduct. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Regulation 26C: Mastering Client-Level Segregation for Analysts /posts/research-analyst-regulation-26c-client-level-segregation/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-26c-client-level-segregation/ Regulation 26C: Client level segregation. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Navigating Trading Restrictions: Regulation 16 and Professional Integrity /posts/research-analyst-regulation-16-trading-limitations/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-16-trading-limitations/ Regulation 16: Trading limitations. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Preserving Integrity: Compliance in Record Maintenance and Digital Signatures /posts/research-analyst-record-maintenance-formats-and-digital-signatures/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-record-maintenance-formats-and-digital-signatures/ Record maintenance formats and digital signatures. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Regulation 32: Accountability and the Liability of Research Entities /posts/research-analyst-regulation-32-liability-for-defaults/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-32-liability-for-defaults/ Regulation 32: Liability for defaults. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. The Compliance Officer: Your Strategic Partner in Regulatory Integrity /posts/research-analyst-regulation-26-appointment-of-compliance-officer/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-26-appointment-of-compliance-officer/ Regulation 26: Appointment of compliance officer. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Transparency as Protocol: Mastering Regulation 19 Disclosures /posts/research-analyst-regulation-19-mandatory-disclosures-in-research-reports/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-19-mandatory-disclosures-in-research-reports/ Regulation 19: Mandatory disclosures in research reports. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Transparency by Design: Mastering SEBI Regulation 19A Website Requirements /posts/research-analyst-regulation-19a-website-maintenance-requirements/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-regulation-19a-website-maintenance-requirements/ Regulation 19A: Website maintenance requirements. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts. Transparency in Algorithms: Disclosing AI Usage in Research Reports /posts/research-analyst-disclosure-of-ai-tool-usage-to-clients/ Fri, 05 Jun 2026 00:00:00 +0000 /posts/research-analyst-disclosure-of-ai-tool-usage-to-clients/ Disclosure of AI tool usage to clients. Companion read for Section 14.4 — Management of Conflicts of Interest and Disclosure Requirements for Research Analysts.