{"id":208605,"date":"2026-08-18T09:51:00","date_gmt":"2026-08-18T04:21:00","guid":{"rendered":"https:\/\/univest.in\/blogs-2\/?p=208605"},"modified":"2026-08-18T09:51:01","modified_gmt":"2026-08-18T04:21:01","slug":"investment-adviser-record-keeping","status":"publish","type":"post","link":"https:\/\/univest.in\/blogs-2\/investment-adviser-record-keeping\/","title":{"rendered":"Investment Adviser Record Keeping: What Must Be Preserved for Five Years?"},"content":{"rendered":"
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SEBI requires investment advisers to maintain all client records for at least five years. Mandatory records include KYC documents, risk profiles, suitability assessments, client agreements, advice …<\/em><\/p>\n

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Quick Answer<\/strong><\/p>\n

Investment adviser record keeping is a foundational compliance obligation under SEBI’s IA framework. The five-year retention requirement applies to a wide range of client-related records, and the purpose is two-fold: enabling SEBI and IAASB to audit compliance and enabling clients to access documented evidence of the advisory relationship if disputes arise.<\/p>\n<\/div>\n

Comprehensive investment adviser record keeping is not just a compliance formality \u2014 it is the foundation of a defensible advisory practice. An IA that delivers sound advice but cannot produce records of the suitability assessment, the recommendation rationale and the client agreement has no documentary evidence to support its position in a dispute.<\/p>\n

This guide explains investment adviser record keeping requirements including which records must be maintained, the five-year retention framework and best practices for compliant documentation management.<\/p>\n

Click Here – Get Free Investment Predictions<\/strong><\/a><\/p>\n

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