Financial Regulatory Services
We regularly assist and advise our clients on complex matters related to financial and securities laws. These include domestic and cross-border investments, regulatory compliances, corporate governance issues, licensing, and structuring transactions, businesses, and products.
We regularly assist and advise our clients on complex matters related to financial and securities laws. These include domestic and cross-border investments, regulatory compliances, corporate governance issues, licensing, and structuring transactions, businesses, and products.
Advisory
We advise our clients on complex areas of law involving regulatory ambiguity, including matters related to regulatory compliances, risk management, business/product structuring, conflict management and domestic/cross-border investments. We advise all categories of SEBI-registered intermediaries and entities holding other financial sector licenses. We have also advised major stock and commodities exchanges, self-regulatory organisations and their constituents. Further, we regularly work with listed companies, their promoters, and directors on a wide range of issues related to mergers and acquisitions, private equity, regulatory compliances, capital raising, corporate governance, domestic and foreign investments, internal investigations, white-collar crime, and other matters involving corporate and securities law.
We also advise several major mutual fund houses in India on domestic and international regulatory issues and provide a wide spectrum of legal services right from fund formation to winding up. Further, we advise major wealth management firms including asset management companies, private equity and venture capital firms, portfolio managers, alternative investment funds, foreign portfolio investors, stock brokers and distributors on issues ranging from corporate governance and regulatory compliances to strategic advice on risk management and restructuring of business operations.
We have also advised numerous fintech companies and start-ups that are disrupting the financial world. We have designed and vetted new-age businesses and product structures related to fractional ownership, foreign investments, distribution of investment products, microfinance, payment systems, crowdfunding, P2P lending, virtual currencies, and crypto-assets. Further, we advise and assist clients in filing regulatory and innovation sandbox applications with SEBI.
Regulatory Engagement
We regularly engage with financial regulators, governmental agencies and quasi-regulatory bodies, including SEBI, RBI, IRDAI, Enforcement Directorate and stock exchanges to represent our clients on matters that impact their business and operations. Such clients include foreign and domestic investors, promoters, listed companies and market intermediaries.
We represent clients on various matters including investments, divestments, takeovers, exemptive reliefs and regulatory guidance.
Regulatory Registration
We assist our clients in obtaining registrations from financial regulators for undertaking various businesses including investment advisory, research analysis, stock broking, insurance broking, portfolio management, alternate investment fund, mutual fund and credit rating services. Our experience in dealing with financial regulators gives us a unique perspective on navigating regulatory requirements and pre-empting regulatory risk.
Internal Risk Management
We assist several listed companies, financial institutions, and market intermediaries in developing internal policies for good governance and compliance with securities and financial laws. Keeping in mind industry best practices, we have prepared and reviewed internal policy documents and manuals covering various aspects of corporate governance, operations, conflict of interest, business segregation, employee dealing and risk management.
Corporate Governance and Investor Activism
We represent institutional and individual investors' interests and obtain regulatory intervention in high-profile matters related to investor protection, corporate governance failures, money laundering, financial fraud, and unfair trade practices.
