Expert Compliance Solutions

Navigate SEBI Compliance with Expert Guidance

Comprehensive compliance consultancy for stock brokers, research analysts, and financial market intermediaries. We help you maintain regulatory excellence and operational integrity.

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SEBI Compliance

Full regulatory compliance advisory for financial intermediaries

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Internal Audits

Concurrent & internal audits for stock brokers

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Licensing & Registration

Stock Broker, RA, IA, PMS & AIF licenses

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Training Programs

Compliance training for brokerage teams

50+
Clients Served
10+
Years Experience
100%
Compliance Focus
5+
Regulatory Domains

Welcome to Trugydex Solutions

The role of a Stock Broking compliance consultancy is to provide expertise and guidance to help brokerage firms navigate the complex regulatory landscape, maintain their integrity, and protect their clients' interests.

Regulations & Rules
Compliance Standards
Transparency & Policies

Expert Compliance Consultancy for Financial Markets

Trugydex Solutions Private Limited is a dedicated compliance consultancy specializing in the Indian capital markets regulatory framework. Our team brings deep understanding of financial regulations, market practices, and evolving industry trends.

We help brokerage firms, research analysts, depository participants and other market intermediaries stay ahead of regulatory requirements and operate with full compliance.

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Companies Act Expert
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SEBI Specialist
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DP Regulations

Comprehensive Compliance Solutions

One-stop solutions for all your regulatory and compliance requirements in the Indian financial markets.

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Business Registrations

Complete guidance on PAN, GST, MSME, Startup India, Shop & Establishment, and all essential business registrations in India.

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Licensing & Registration

End-to-end advisory for Stock Broker, Research Analyst, Investment Advisor, PMS, and AIF license registration with SEBI.

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Regulatory Compliance

Advising brokerage firms on SEBI regulations, Exchange rules, and all applicable laws governing their operations and client servicing.

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Internal & Concurrent Audits

Performing periodic audits to assess compliance, uncover deficiencies, and recommend corrective actions as per SEBI norms.

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Compliance Training

Conducting training sessions for brokerage employees on compliance standards, ethical practices, operations setup, and regulatory changes.

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Companies Act Advisory

Expert guidance on Companies Act, 2013 compliances for listed and unlisted entities including board meetings, secretarial audits and filings.

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DP Regulations & Operations

Advisory on SEBI (Depositories & Participants) Regulations, CDSL/NSDL operational procedures and compliance requirements.

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Why Choose Us?

We bring deep domain expertise, personalized approach and complete transparency to every client engagement.

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Expert Team

Our team comprises skilled professionals with deep understanding of the stock market, SEBI regulations and Indian financial laws — ensuring you receive the best guidance.

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Personalized Approach

We believe every broker is unique. Our consultancy services are tailored to your individual needs, risk tolerance, and business model.

03

Transparency

Honesty and transparency are at the core of our business. We provide clear insights and advice to help you make informed compliance decisions.

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End-to-End Support

From registration to ongoing compliance, we are with you at every step — from business setup to regulatory inspections and audits.

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Up-to-Date Knowledge

We continuously track SEBI circulars, exchange notifications, and regulatory changes so you are always ahead of compliance requirements.

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Proven Track Record

Trusted by stock brokers, research analysts and depository participants across India for reliable, professional compliance advisory services.

Who We Work With

We serve a wide range of SEBI registered market intermediaries and financial entities.

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Stock Brokers

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Research Analysts

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Depository Participants

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Investment Advisors

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PMS Managers

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AIF Managers

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Merchant Bankers

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Listed Companies

Meet Our Experts

Experienced professionals dedicated to providing you the best compliance guidance.

JK
Company Secretary

CS Jay Kular

📞 +91 8460042325
SP
Compliance Specialist

Samir Payak

📞 +91 80000 73534

Frequently Asked Questions

Quick answers to common questions about SEBI compliance, stock broker regulations, and our services.

What is the process to register as a Stock Broker with SEBI?
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To register as a Stock Broker with SEBI, an entity must first become a member of a recognised stock exchange (NSE/BSE/MCX), meet the minimum net worth requirements, appoint a Principal Officer with NISM certifications, submit Form A with required documents to SEBI, and pay the applicable registration fees. Trugydex guides you through each step of this process.
What are the compliance requirements for a SEBI Registered Research Analyst?
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A SEBI Registered Research Analyst must maintain an annual compliance report, conduct half-yearly audits, comply with SEBI (Research Analysts) Regulations 2014 including disclosure norms, maintain records for 5 years, publish research reports with required disclosures, and comply with code of conduct provisions. Regular circular updates from SEBI must also be implemented.
What is the scope of Internal Audit for a Stock Broker?
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The internal audit of a stock broker covers KYC and client onboarding processes, contract notes and bills, margin collection and reporting, fund and securities segregation, risk management systems, exchange and SEBI compliance, redressal of investor grievances, back-office operations, and AML/CFT compliance as prescribed by SEBI and exchange circulars.
How can Trugydex help with SEBI inspection preparedness?
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Trugydex assists firms in conducting pre-inspection gap analysis, preparing compliance documentation, reviewing policies and procedures, ensuring records are maintained as per regulatory requirements, training key personnel, and providing mock inspection support to ensure your firm is fully prepared for any SEBI or Exchange inspection.
What are the net worth requirements for a Stock Broker?
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As per SEBI regulations, the minimum net worth for a Stock Broker is ₹30 lakhs for BSE/NSE Cash segment, ₹100 lakhs for Futures & Options segment, and ₹500 lakhs for Currency Derivatives. These requirements are subject to periodic revision by SEBI, and Trugydex keeps you updated on any changes.

Get Expert Compliance Consultation

Reach out to our team for any compliance query, registration assistance, or audit support. We respond promptly to all enquiries.

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Call Us

+91 8460042325 | +91 80000 73534

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Website

www.trugydex.in

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Company

Trugydex Solutions Private Limited

Send us a Message