A Compliance Area That's Entirely Within Your Control to Get Right
Unlike compliance areas that depend on how a client interaction unfolds, website and display compliance is entirely within an adviser's direct control — and precisely because it's fully controllable, it's one of the easiest areas for an inspection to find a clean, unambiguous gap in.
What Must Be Displayed, and Where
On your website and mobile app (homepage-level visibility, not buried in a footer or sub-page):
- Complete SEBI-registered name (not just your brand/trade name — see our dedicated article on this specific distinction)
- Registration type (Individual/Non-Individual) and registration number, with validity
- Complete address and phone number
- Principal Officer's contact details
- The corresponding SEBI regional office address
- Compliance officer/grievance officer name, phone, and email
- The mandatory disclaimer regarding registration, IAASB enlistment, and NISM certification not guaranteeing performance or returns Monthly, on your homepage specifically (not scrolled-to, not a separate linked page):
- Complaint-status data in the prescribed Annexure C format, published within 7 days of the previous month's end, in font size 12 or larger
What You Cannot Do
- Cannot use the SEBI logo — a surprisingly common mistake among newly registered advisers who assume displaying SEBI's logo demonstrates credibility, when in fact this is expressly prohibited
- Cannot bury required disclosures in fine print, footers, or behind additional clicks — the "without scrolling" requirement for complaint data specifically, and the general expectation of prominent display for the other required items, mean these can't be technically present but practically invisible
The Brand Name Trap
If your practice operates under a distinct brand or trade name (common, and entirely permitted) — the SEBI-registered legal name still needs to be at least equally prominent, not subordinated to the brand name. See our dedicated article on this specific distinction for the full mechanics; it's a distinct enough issue to warrant its own detailed treatment.
Why the Monthly Complaint Disclosure Deadline Is Easy to Miss
Unlike the more prominent, static display items (address, registration number) that get set up once and rarely revisited, the monthly complaint-data disclosure is a recurring obligation with its own specific 7-day-from-month-end deadline — worth building into your standing compliance calendar rather than relying on remembering to update it each month.
Auditing Your Current Website Against This Checklist
Given how objectively testable website compliance is — either the required elements are present, prominent, and current, or they're not — it's genuinely worth conducting a periodic, deliberate audit of your own website against this exact checklist, rather than assuming it remains compliant simply because it was compliant when first built.
Reviewing and Building Compliant Website Infrastructure
We conduct website and display compliance audits for Investment Advisers, and work with your web development team (or ours) to implement the specific display, disclaimer, and monthly disclosure requirements correctly.
Not certain your website currently satisfies every Regulation 19A display requirement? Get it audited before an inspection finds the gap first — talk to Anuj Desai & Associates.
This article is for general informational purposes and does not constitute regulatory advice specific to any adviser's website or display materials.
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