Governance

Compliance Centre

SEBI, AMFI, and RBI-aligned monitoring for KYC, suitability, audit readiness, and risk exceptions across your partner practice.

Open vault Review KYC
KYC Completion
98.1%
+0.4% vs last month
Open Exceptions
17
4 critical, 2 overdue
Audit Readiness
94/100
+3 points vs Q1
Policies Pending Ack
6
2 advisors due
Compliance health score
Weighted across KYC, suitability, documentation, and audit hygiene
View trend
94
out of 100
Compliant - 90.0%
Attention - 7.1%
Critical - 2.9%
Last full audit: 12 Aug 2026. Next SEBI half-yearly due 30 Sep 2026.
Risk exceptions
Open compliance items requiring action or documentation
17 open 4 critical
Client Exception Regulatory ref Age Severity Status
Vikram Agarwal KYC expiring 12 Sep 2026 SEBI KRA Circular 2024/72 2d
Critical
 Open
Shalini Mehra Address mismatch with CKYC AMFI Best Practices 6.2 5d
Warning
 In review
Rohit Kapoor Suitability memo missing for AIF SEBI AIF Regulations 2023 1d
Critical
 Open
Nandini Subramanian Dividend mandate not registered RBI NACH Directive 8d
Medium
 Queued
Prakash Bhatia Investment declaration unsigned SEBI Investor Charter 3d
Warning
 Pending sign
Ananya Iyer FATCA self-certification due SEBI FATCA Guidelines 12d
Medium
 Queued
View all clients
KRA sync status
KYC records reconciled across CAMS, Karvy, NSDL, and CDSL
Last sync 2h ago
CAMS KRA
99.2%
287 of 289 records
Karvy KRA
97.8%
176 of 180 records
NSDL KRA
98.5%
131 of 133 records
CDSL KRA
96.4%
107 of 111 records
Sentinel Copilot
Three clients have KYC records expiring in the next 30 days. I have drafted re-KYC request emails and pre-filled the CKYC modification forms. Two also need updated bank mandates.
Run re-KYC batch Preview emails Update mandates
Next Best Action
Rohit Kapoor's AIF suitability memo is missing. The investment amount is INR 50 L. I can generate a suitability note using his risk score 7.2 and existing equity exposure of 61%.
Generate memo Review risk profile
Policy acknowledgements
P
SEBI Investor Charter
Acknowledged by 18 of 20 advisors · Due 25 Aug 2026
2 pending
P
AMFI Code of Ethics
Acknowledged by 19 of 20 advisors · Due 30 Aug 2026
1 pending
P
Data Privacy & PMLA
Acknowledged by 20 of 20 advisors · Renewed 1 Aug 2026
Complete
P
Cyber Incident Response
Acknowledged by 17 of 20 advisors · Due 22 Aug 2026
3 pending
Audit trail
KYC batch reconciled across KRAs
By system · 312 records checked
Today
08:14
Critical exception raised: Kapoor AIF memo
By compliance engine · SEBI AIF Reg
Today
07:42
Policy document uploaded to vault
By Rishi Mehta · PMLA update v2.4
Yesterday
16:30
Quarterly compliance report signed
By compliance head · IP 10.0.4.22
15 Aug
11:00
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