Markets move in seconds. Does every dealer and partner know the rule before they place the trade?
A broking firm runs on dealers, relationship managers, research and advisory staff, and a large network of authorised persons and sub-brokers it doesn’t employ — all SEBI-regulated, all needing valid NISM certification, all advising on products where a wrong call costs the client and the licence. Circulars land constantly; products get more complex; and there’s no easy way to prove who’s genuinely current. The problem isn’t talent. It’s the absence of a platform that keeps every dealer and partner certified, current on the latest circular, and demonstrably competent to advise.One platform. Two outcomes: a desk and partner network that’s certified and compliant, and advice you can prove was suitable.
Your desk doesn’t ignore the circular. They ignore a circular that never reaches the screen in time.
Most broking firms run compliance through NISM prep left to the individual, circulars forwarded by email, and product notes that sit unread in an inbox. The dealer who cleared certification two years ago may never have been tested on the product launching this week — and there’s no way to know the difference. The gap isn’t effort or intent. It’s a structured, trackable system that turns “we emailed the circular” into “every dealer and partner is certified and has acknowledged it.”
- NISM prep left to the individual — no idea who’s genuinely ready before they sit the exam
- Circulars emailed and forgotten — no proof of who actually read the new regulation
- Product knowledge assumed, not tested — and suitability left undocumented
- One-size content for a rookie dealer and a senior RM, on a desktop in the back office
- F&O and derivatives suitability taught once, never re-verified before the advice is given
- Compliance reporting done manually — and the firm can’t prove who’s truly current to an inspector
- Structured NISM and product certification paths with assessments — readiness is earned, not assumed
- Instant circular push with read-and-acknowledge — a timestamped record of who read what, when
- Gated new-product readiness — no dealing or advising on a product until certified for it
- Role- and product-aware paths: dealer, RM, research/advisory, authorised person — each sees their own journey
- Scenario-based suitability certification, with documented advisory quality you can show after the fact
- One-click SEBI/NISM compliance reports, with visibility down to the individual across the desk and the AP network
Certification across the desk and the network. Current with the last circular, not the last cycle.
A new circular can land any morning — a margin rule, a disclosure change, a product restriction. A dealer who half-knows the rule acts on yesterday’s regulation, and the firm wears the consequence. Violet turns every certification and every circular into a short, sharp learning step with a readiness gate at the end. The rule doesn’t reach the client as a surprise. The desk and the partner network are current before they act.
Rapid product & circular modules
Short videos, rule summaries, product explainers, and risk-disclosure cards — built and pushed across the desk and partner network in 48 hours. Everyone reads the same rule, the same way, at the same time.
Readiness gate
A dealer or partner isn’t cleared to deal or advise on a product until they pass certification for it. Configurable pass mark. No shortcuts, no uncertified person acting on a new product or an unread circular.
Compliance dashboard
See certification and circular-acknowledgement status for every dealer, RM, and authorised person — branch by branch, partner by partner, person by person. Spot the lapsing certs and unread circulars while there’s still time to act.
Everything due today. On one screen, in their hand.
A dealer between two orders, an RM between two client calls — neither has time to hunt through folders. One panel shows every action they owe today: the new circular to acknowledge, the quick suitability quiz, the product short, the re-certification. Anything overdue from yesterday surfaces in coral. An empty panel means they’re current.
One screen, every action
Circulars to acknowledge, suitability quizzes, product shorts, re-certifications, all in one panel. No folder-hunting.
Overdue surfaced automatically
Yesterday’s unread circular or lapsed certification flagged in coral so nothing slips before the next trade.
Always-empty is the goal
An empty panel means the dealer or partner is certified and current. The design rewards closing things out.
Manager dashboard mirrors it
The branch/dealing head sees the same panel for every person and partner. Who’s on top of their compliance, who’s falling behind.
Prove the advice was suitable. Three layers. One platform.
Advisory is where the client trust, the revenue, and the regulatory risk all live. A wrong call on an F&O recommendation isn’t a bad review — it’s a loss to the client and a question from SEBI. Running an advisory business is a certification business: the dealer or RM earns the competence, the branch head runs the floor, and compliance audits the whole network’s readiness. Today these live in three disconnected places. Violet unifies all three and puts the advisory-quality dashboard on top.
Certification, suitability and compliance
- Product-by-product certification: equity, F&O, commodities, currency, debt
- Suitability checks: scenario-based decisions on risk-profiling and product fit — tested, not assumed
- Each certification is a digital badge; clear more, unlock higher product access
- Insider-trading and KYC/AML acknowledgement built into the path
Running the floor
- Certification coverage and product readiness across the desk
- Advisory-quality scoring and suitability adherence per dealer/RM
- Mis-selling and suitability-flag tracking
- Client-experience and complaint follow-through
Network readiness
- Planned audits of SEBI/NISM-readiness per branch and partner
- Insider-trading and AML attestations, with random checks to catch drift
- Score against firm-defined advisory and conduct standards
- Expiring certifications rolled up across the desk and the AP network
And the audit of the audits.
One number tells you 91% of your people are certified and current. The next tells you only 64% are certified to advise on F&O. The next tells you 230 certifications expire this quarter. The last flags 18 partners below the threshold. That’s the visibility most firms have never had.
Every product, every disclosure, every circular. One tap away.
No more “let me check the latest rule and call you back” in front of a client. Every product, risk disclosure, SEBI/exchange circular, and research note assigned to a person’s role — ready in PDF or video. Revise it at HQ and the whole desk and partner network gets the new version on next open, with a read-and-acknowledge record. The same data can feed the firm’s advisory and disclosure tools.
01 · Role-gated access
A dealer sees dealing material; research sees advisory notes; an authorised person sees the partner pack. Rights-managed at the admin level.
02 · PDF, video, or auto-generated
Upload existing product notes and risk disclosures, or define the rules in the admin and let the front end auto-build. No video team required.
03 · Read-and-acknowledge, instant updates
A revised circular or product change at HQ reaches every branch and partner on next open, with a timestamped acknowledgement record. Never acting on last month’s rule.
04 · Updates push instantly
A new SEBI circular or product restriction is live across the network the moment it’s published. No more “we hadn’t seen that circular yet” from the field.
Bonus: the same product and regulation data can feed the firm’s advisory, suitability, and disclosure tools. One source, every screen.
Learning Shorts. The format their thumb already knows.
The young dealer on your desk and the new authorised person in your network have trained themselves on Reels and Shorts for years. That’s the format that lands: vertical, 30–60 seconds, autoplay-next. We built it native to the platform and assigned by role and product gap, so a dealer sees a 60-second circular summary while an advisor sees an options-risk explainer and a KYC/AML reminder.
142★
SAVE
▶ Vertical, autoplay-next
Same format their thumbs already know. One swipe = next short. They burn through 8–10 between two client calls without thinking about it.
🎯 Assigned by role + product gap
A dealer weak on derivatives sees options-risk shorts. A new partner sees KYC/AML and conduct shorts. Personalised, not generic.
⚡ Right-now, right-here learning
A circular summary the morning it lands. An options-risk explainer before the next F&O call. A KYC/AML reminder at onboarding. The learning long-form modules can’t reach.
📈 Engagement that drives adoption
Completion rates jump from 30% to 80%+. The format isn’t the gimmick. It’s the unlock.
Fast quizzes. Real situations. In the language they think in.
One to five quick questions, delivered to the phone in the learner’s chosen language. Visual and scenario-based, not text walls. Every answer is logged centrally, so compliance knows exactly which dealer, which branch, and which concept is sticking — and which one needs a re-quiz before it becomes a suitability issue.
1–5 questions, no more
Finishable between two client calls or two orders. Built for a 2-minute window.
Visual & scenario-based
“What do you clarify first?” “Spot the red flag in this conversation.” Beats theory.
Multilingual by default
16 Indian languages plus 50+ global, including Hindi, Tamil, Telugu, Marathi, Bengali, Kannada, Punjabi, Gujarati. Same question, same scoring.
Retention tracked centrally
Every answer logged per individual. Compliance sees retention by person, branch, region, and concept. Re-quiz automatically until it sticks.
Instant feedback
The right answer the moment they tap, with a one-line “why”. Learning happens in the same 2 minutes.
Own dealers & RMs. Authorised persons / sub-brokers. Branches. Digital / discount. All in one dashboard.
Almost every broking firm runs a mix: an in-house dealing desk and RM team, a vast network of authorised persons and sub-brokers it doesn’t employ, a branch footprint, and a digital/discount channel. A standard LMS treats them all the same. We don’t. Every dashboard, every cohort, every comparison can be sliced by channel — so you can finally answer the question that matters: which channel is staying compliant and advising well, and which one isn’t.
| Metric | Dealers & RMs | Authorised persons | Branches | Digital |
|---|---|---|---|---|
Certification-current % with valid certs | 96% | 81% | 88% | 93% |
Product coverage to required level | 91% | 79% | 86% | 84% |
Compliance attestations insider-trading / AML | 94% | 76% | 89% | 90% |
Advisory-quality score avg, last 90 days | 88 | 80 | 84 | 82 |
Attrition annualised, lower is better | 24% | 34% | 30% | 28% |
Dealers/partners covered total on platform | 140 | 200 | 96 | 60 |
Channel-aware dashboards
Own dealers/RMs vs authorised persons vs branches vs digital, side by side, on the same source of truth.
Like-for-like comparison
Same metrics, same definitions, same time window. No more apples-to-oranges across the network.
Drill into any cluster
Click a region to find the partner dragging the average down, or the branch quietly raising the bar.
Built for combinations
Full-service, discount, sub-broker franchises, remisiers, area partners — whatever model your network runs in real life, the platform represents it natively.
Don’t break the streak. Tickr is watching.
A young dealer or authorised person doesn’t need another compliance reminder — they need a reason to come back tomorrow. So we built one. Every login marks a streak. Every milestone unlocks bonus points that count toward recognition. And Tickr, our ticker-tape companion, reacts to every move — cheering when they show up, concerned when they don’t. The platform stops feeling like a system and starts feeling like something that notices.
Mascot is white-labelled. “Tickr” is the suggested securities companion; any firm can ship its own branded character.
Daily streak counter
Every login marks the streak. Visible the moment they open the app.
Milestone bonuses
3, 7, 30, 90 days. Each unlocks points that count toward recognition and rewards.
Mascot reacts to behaviour
Tickr is happy when they show up, concerned when they slip. The emotional hook that makes coming back personal.
Two habits, not one
Streaks track both daily learning (a quiz, a short) and daily compliance (a circular acknowledged, a checklist). One mechanic, two habits.
Continuous feedback. Mostly on video.
Branch and dealing heads don’t have time to write paragraphs, and the desk doesn’t have time to read them. So the platform leans video-first. A star rating in two taps. A 30-second clip recorded on the phone, or pulled from earlier. The dealer watches it between calls, the RM between meetings — in the same app they train in, where the next client conversation is the test.
01 · Pick the person, set the rating
Manager taps a name, sets a star rating in two taps, adds a line if needed. The real message goes into the video.
02 · Record live or attach
Up to 60 seconds on phone or laptop camera, or upload a clip already saved. Whatever’s easier in the moment.
03 · They watch and learn
A notification, then they play it at the desk or on the way home. Feedback that gets watched is feedback that changes behaviour.
Plus everything you’d expect from a modern learning & enablement platform.
The certification-and-compliance engine, the three-layer advisory-quality matrix, the Product & Regulation Hub, Learning Shorts and Micro-Quizzes are the securities-specific layer. Underneath sits a full enterprise platform with everything else you’d expect:
SEBI/NISM compliance dashboard
Certification status, circular acknowledgements and attestations, firm-wide, in one view.
Certification-renewal tracking
Every certificate’s expiry tracked; auto-reminders and re-certification before it lapses.
Proctored certification
Camera-supervised certification, no travel required, audit-trail intact.
Multi-tenant for the AP/sub-broker network
The firm sets the curriculum; each partner’s data stays isolated.
50+ global & 16 Indian languages
Hindi, Tamil, Telugu, Marathi, Bengali, Kannada, Punjabi, Gujarati and more. Audio-first for the field.
Manager & compliance dashboards
Same data, four lenses: dealer/RM, branch, region, firm.
Trading/CRM, HRMS & SSO integration
Your trading and CRM systems, plus Darwinbox, Keka, GreytHR, PeopleStrong, SAP SuccessFactors, Oracle HCM — and single sign-on.
Video search & auto-transcription
Every video transcribed and indexed; search a phrase, jump to the exact second.
Securities questions, securities answers.
Stop assuming the desk read the circular.
30-minute demo. We’ll walk you through NISM/SEBI certification with circular gating, the advisory-quality engine with suitability scoring, and the securities-specific features: the Product & Regulation Hub, Learning Shorts, Micro-Quizzes, and the compliance dashboards.
Book a demo →