{"id":208607,"date":"2026-08-18T09:53:57","date_gmt":"2026-08-18T04:23:57","guid":{"rendered":"https:\/\/univest.in\/blogs-2\/?p=208607"},"modified":"2026-08-18T09:53:58","modified_gmt":"2026-08-18T04:23:58","slug":"investment-adviser-pre-onboarding-records","status":"publish","type":"post","link":"https:\/\/univest.in\/blogs-2\/investment-adviser-pre-onboarding-records\/","title":{"rendered":"How Investment Advisers Must Record Pre-Onboarding Conversations With Prospective Clients"},"content":{"rendered":"
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SEBI requires investment advisers to preserve advice-related interactions with prospective clients from the very first contact, not just after a client agreement is signed. Pre-onboarding advice gi…<\/em><\/p>\n

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

Investment adviser pre onboarding records extend the record-keeping obligation to the period before a formal client agreement is signed. If an investment adviser provides specific investment advice \u2014 stock recommendations, portfolio suggestions or actionable guidance \u2014 during a prospective client interaction, that advice must be recorded and preserved from the first such interaction onward.<\/p>\n<\/div>\n

The investment adviser pre onboarding records requirement addresses a practical accountability gap: advice given during sales conversations or demonstration calls was historically outside the documented record-keeping system. SEBI’s current framework closes this gap by requiring preservation of advice-related interactions from the first contact.<\/p>\n

This guide explains the investment adviser pre onboarding records requirement, what types of interactions trigger the obligation and how registered IAs should manage pre-onboarding communications.<\/p>\n

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

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