Regulatory Compliance Advisory
We build and manage regulatory compliance frameworks across Companies Act, SEBI, FEMA, RBI, MCA and sectoral regulators — including compliance audits, filings and investigation representation.
Overview
Multi-regulator compliance can quickly become fragmented across teams, tools and advisors. Failures typically happen at the seams, not in any one silo.
We help boards and CFOs consolidate compliance into a single, board-visible framework — with clear ownership, cadence and evidence.
Our Regulatory Compliance Services
Framework & Audit
- •Regulatory compliance framework design
- •Compliance gap and readiness audit
- •Policy, SOP and control library
- •Compliance dashboard and board reporting
Regulator-Specific
- •Companies Act / MCA compliance
- •SEBI (LODR, ICDR, PIT, SAST) compliance
- •FEMA / RBI compliance for FDI, ODI, ECB
- •Sectoral regulator advisory (banking, NBFC, insurance)
Investigations
- •MCA / ROC inspections and investigations
- •SFIO investigation representation
- •SEBI and sectoral regulator SCN and adjudication
How we work
- 01
Diagnose
Compliance gap and risk assessment.
- 02
Build
Framework, policies, controls, calendar.
- 03
Operate
Ongoing filings, disclosures and reporting.
- 04
Defend
Investigation and enforcement representation.
Why clients choose us
- ✓Multi-regulator advisory under one roof
- ✓Board-level compliance reporting and governance approach
- ✓Investigation-experienced team — not just filings
Challenges we help you navigate
Fragmented advisors, uneven quality
Most regulatory compliance mandates cross tax, legal, finance and secretarial workstreams. Handing them to separate advisors creates gaps in strategy, timelines and accountability.
Regulatory complexity and shifting law
The regulatory landscape around regulatory compliance has moved quickly in the last few years. Precedents, circulars and enforcement priorities change how a matter should be structured and defended.
Commercial trade-offs, not just paperwork
Every regulatory compliance decision affects cash, tax, timelines and stakeholder trust. Documentation alone is not enough — the underlying commercial call has to be right.
Execution capacity under time pressure
Boards and promoters usually engage on a deadline — a filing, a board meeting, a diligence, a hearing. Slippage is expensive and often irreversible.
Is this right for you?
We work best with organisations that recognise themselves in the profiles below. If any of these describe your situation, we should talk.
- ✓Promoters and boards evaluating a regulatory compliance decision for the first time
- ✓Growth and mid-market companies that need integrated regulatory compliance advice under one roof
- ✓Family-owned businesses balancing commercial goals with governance and succession considerations
- ✓Investors, lenders and other stakeholders assessing a counterparty on regulatory compliance matters
- ✓Listed and IPO-bound companies needing disciplined regulatory compliance execution alongside disclosure obligations
What you receive
- Diagnostic memo on the regulatory compliance objective, options and key risks
- Detailed workplan with responsibilities, timelines and dependencies
- Structured documentation package — filings, submissions, contracts or schemes as applicable
- Board / promoter briefing notes at each decision point
- Coordination log with intermediaries, regulators or counterparties
- Handover file with post-engagement compliance and monitoring calendar
How the engagement runs
Kick-off & diagnostic
Week 1–2
Fact-gathering, exposure assessment, option evaluation and workplan sign-off with the promoter or board.
Structuring & drafting
Week 3–6
Design of the preferred structure, drafting of core documents, tax and regulatory positioning, internal review cycles.
Execution & filings
Week 6–12
Filings, negotiations, hearings or coordination with counterparties, regulators and intermediaries.
Closure & handover
Post go-live
Post-engagement compliance calendar, monitoring framework and knowledge transfer to internal teams.
Frequently asked questions
Who should own compliance in a mid-size company?
A designated compliance function (CS or CFO) with clear ownership matrix, board-level oversight and independent audit — supported by external advisors for regulator-specific depth.
Explore complementary practices
SEBI Compliance Advisory
SEBI compliance advisors for listed companies — LODR, PIT, SAST, ICDR, buyback and delisting compliance, disclosures and investigation re…
Learn more →Corporate Law Advisory Services
Corporate law advisors for Companies Act compliance, contracts, JVs, shareholder agreements, restructuring, NCLT matters and cross-border…
Learn more →Capital Market Advisory Services
Capital market advisors in India for IPOs, QIPs, rights issues, preferential allotments, buybacks, delisting and SEBI compliance across t…
Learn more →Corporate Litigation at NCLT & Other Courts
Corporate litigation advisors — NCLT, NCLAT, SEBI, High Court and other forums. Oppression & mismanagement, scheme petitions, insolvency …
Learn more →From our Knowledge Centre
The Promoter's SME IPO Readiness Checklist
A practical readiness framework across financials, governance, tax and shareholding — before the merchant banker walks in.
Read article →Negotiating Earn-outs in Mid-market M&A
How to structure earn-outs that actually get paid — metrics, gates, disputes and the traps buyers and sellers fall into.
Read article →Preparing a Family Business for External Capital
Governance, shareholder arrangements and tax structuring that make a family business investable without diluting control.
Read article →Talk to our regulatory compliance team.
Share a brief on your requirement and we'll respond with a clear path forward within one working day.