Institution record
SBI Securities
SBICAP Securities Limited
- Source score
- 5.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Securities and Exchange Board of India | INZ000200032 | Regulated | SBICAP SECURITIES LIMITED | 1999-03-08 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing SBI Securities against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| SBI Securities (this record) | SEBI | 1 / 1 | Risk level not supplied | 5.0 | 0 |
SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.1 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 |
SBI Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is SBI Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, SBI Securities (legal entity reference: SBICAP Securities Limited) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SEBI (Securities and Exchange Board of India) — licence INZ000200032, status: regulated. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official SEBI public register.
Which of SBI Securities's jurisdictions and licences fall within this site's regulatory coverage?
SBI Securities is registered at Marathon Futurex, B-wing, 12th Floor, Lower Parel East, Mumbai - 400013 and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Equity investing, derivatives trading, foreign exchange trading, mutual funds, fixed income investing, home loans and car loans) rather than a domestic focus licence. Its 1 recorded licence (SEBI) should be evaluated for cross-border passporting and local solicitation rules.
What is SBI Securities's institutional risk classification, enforcement exposure, and score profile?
SBI Securities carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 4.0, brand: 5.0, market influence: 4.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to SBI Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with SBI Securities (listed execution software: SBI Securities: Invest & Trade), institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to SEBI.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to SBI Securities's supervisory scope.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
market-insights
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Breakout Capital's Ruchir Sharma: Don't see trajectory for interest rates changing that much: Institutional summary of the primary material (SFC). Cross-reference official supervisory registers for live updates.
market-insights
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These funds tout hefty income tied to the tech trade – if you’re willing to deal with the complexity: Institutional summary of the primary material (ETF). Cross-reference official supervisory registers for live updates.