{"id":208613,"date":"2026-08-18T09:57:19","date_gmt":"2026-08-18T04:27:19","guid":{"rendered":"https:\/\/univest.in\/blogs-2\/?p=208613"},"modified":"2026-08-18T09:57:21","modified_gmt":"2026-08-18T04:27:21","slug":"investment-adviser-client-records","status":"publish","type":"post","link":"https:\/\/univest.in\/blogs-2\/investment-adviser-client-records\/","title":{"rendered":"Investment Adviser Client Records: Written, Email, Call and Digital Evidence Explained"},"content":{"rendered":"
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Investment adviser client records may be maintained in written, email, telephone recording, SMS or any other format that creates a retrievable record of the interaction. SEBI guidance specifies tha…<\/em><\/p>\n

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

Investment adviser client records can be maintained in multiple formats depending on the communication channel through which advice was delivered and the client interaction occurred. SEBI’s guidance on record-keeping is format-inclusive \u2014 it specifies that records must be retrievable, verifiable and preserved for the required period, but permits multiple evidence formats including written documents, email threads, telephone call recordings, SMS records and digital platform logs.<\/p>\n<\/div>\n

Understanding the range of acceptable investment adviser client records formats helps registered IAs implement practical record-keeping systems that match their communication channels and helps investors understand what types of evidence support their advisory relationship documentation.<\/p>\n

This guide explains the investment adviser client records taxonomy, what SEBI’s guidance specifies about acceptable formats and how each format should be managed.<\/p>\n

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

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