SEBI Registration and Compliance Advisory
Various players in the primary and secondary capital market are required to be registered with the Securities and Exchange Board of India (SEBI). SEBI has issued various rules and regulations for governing of the intermediaries.
All intermediaries are required to undertake ongoing compliance of these regulations, once registered with SEBI.
Different types of intermediaries required to register with SEBI include:
- Alternative Investment Funds
- Merchant Bankers
- Registrar & Share Transfer Agents
- Debenture Trustees
- Stock Brokers
- Investment Advisors
- Research Analysts
- Custodian of Securities
- Foreign Portfolio Investors
- Asset Management Companies & Mutual Funds
Our Advisory Services for SEBI Intermediaries include:
- Advisory in preparation of business plan and application for SEBI Registration
- Assistance in company incorporation, along with the compliance of regulatory conditions for respective intermediaries
- Post registration Audits and advisory on maintenance of compliance framework for the intermediary
- End to end support for all SEBI compliance matters