Securities Law & SEBI Compliance
SEBI-registered entities are judged on records, not intentions. We build the compliance calendar, keep the registers current, and prepare the entity for inspection.
What this area handles
A registered intermediary operates under a standing reporting obligation, and an inspection tests documentation rather than good faith. We work with Alternative Investment Funds, portfolio managers, investment advisers, and merchant bankers across registration and continuing compliance. Registration work covers the application, the fit-and-proper assessment, and net worth certification. SEBI also expects policies in place before approval: conflict of interest, grievance redressal, and anti-money-laundering procedure. The AML procedure follows the Prevention of Money-laundering Act, 2002 and the SEBI master directions. Continuing compliance is calendar-driven: quarterly and half-yearly reports, the annual compliance certificate, and event-based intimations on change in control, key personnel, or shareholding. For AIFs, we handle SEBI quarterly reporting, valuation of unlisted investments, scheme-level records, and the placement memorandum audit trail. For listed companies, we work on obligations under the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015. Insider trading compliance follows the SEBI (Prohibition of Insider Trading) Regulations, 2015. That means the structured digital database, trading window closure, and disclosure of trades. Where an inspection observation or show-cause notice arrives, we assemble the response and the corrective record.
What this covers
Who this is for
SEBI-Registered Intermediaries
Ongoing obligations for alternative investment funds, portfolio managers, investment advisers, and merchant bankers, including registration, net-worth, and periodic filings.
Venture Capital & Private Equity Funds
AIF structuring and registration, fund-level compliance and reporting, and diligence and finance support for portfolio companies after investment.
Family Offices & Promoter Groups
Holding structures across operating and investment entities, succession and trust arrangements, and governance for families that hold assets in several names.
Statutes and regulations engaged
Typical questions we are asked
SEBI has scheduled an inspection. What should we have ready?
Do our advisory activities require investment adviser registration?
Which reports does an AIF file each quarter, and who signs them?
How do we maintain the structured digital database without disrupting deal work?
Related practice areas
Venture Capital & Startup Advisory
Fund structuring, round documentation, cap tables, ESOPs, and post-funding compliance.
Internal Audit & Risk
Process testing, control design, and reporting to the audit committee or board.
See the full list of practice areas for every area the firm handles.
Discuss Securities Law & SEBI Compliance
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