Annual Compliance Audit Status
Annual Compliance Audit Status
As per Regulation 19(3) of the SEBI (Investment Advisers) Regulations, 2013, every RIA must undergo an annual compliance audit.
Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SECURITIES AND EXCHANGE BOARD OF INDIA(INVESTMENT ADVISERS) REGULATIONS, 2013 for last and current financial years are as under:
Audit Status Report
| Financial Year | Compliance Audit Completed | Status |
|---|---|---|
| 2023–2024 | Yes | Compliant |
| 2024–2025 | Yes | Compliant |
| 2025–2026 | To be updated | Pending Completion |
The audit verifies:
- Fee structure compliance
- Advisory documentation
- Risk profiling
- Record keeping
- Conflict of interest management
- Proper disclosures
Regulatory Disclosure
Pritesh Shah is registered with the Securities and Exchange Board of India (SEBI) as an Individual Investment Advisor under SEBI (Investment Advisers) Regulations, 2013. Registration granted by SEBI does not imply endorsement. Investments are subject to market risks.