SEBI Registered: Research Analyst | Investment Adviser | Call:+91 97730 15000

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SEBI Registered: Research Analyst | Investment Adviser | Call: +91 97730 15000 | Email: research@stockaxis.com

Compliance

Annual Compliance Audit

We undertake annual compliance audits in accordance with the applicable
SEBI regulations, circulars and guidelines.

Research Analysts

SEBI Registration No.: INH000007669

Annual compliance audit reports for Research Analyst (RA)
Financial Year Audit Status Adverse Findings Action Taken
FY 2025-26 Completed None N.A.
FY 2024-25 Completed None N.A.
FY 2023-24 Completed None N.A.
FY 2022-23 Completed None N.A.
FY 2021-22 Completed None N.A.
FY 2020-21 Completed None N.A.

Investment Advisers

SEBI Registration No.: INA000011644

Annual compliance audit reports for Investment Adviser (IA)
Financial Year Audit Status Adverse Findings Action Taken
FY 2025-26 Completed Principal Officer qualification
and certification
Corrective action
in progress
FY 2024-25 Completed None N.A.
FY 2023-24 Completed None N.A.
FY 2022-23 Completed None N.A.
FY 2021-22 Completed None N.A.
FY 2020-21 Completed None N.A.

The complete compliance audit reports are provided to our clients in accordance with applicable SEBI requirements.

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Write to us at research@stockaxis.com

Registered Address: Opulent Investment Adviser Private Limited | Office No.61, Maker Tower E, G D Somani Marg, Cuffe Parade, Mumbai-400005.