SEBI Compliance Advisory
We advise listed companies, promoters, investors and intermediaries on SEBI compliance across LODR, ICDR, PIT, SAST, Buyback, Delisting Regulations and SEBI investigations.
Overview
SEBI compliance is no longer a filing exercise — enforcement, adjudication and settlement proceedings have sharpened significantly. Real-time disclosure, insider trading discipline and governance controls are now board-level responsibilities.
We help listed companies build a compliance framework that is both regulator-ready and operationally practical.
Our SEBI Compliance Services
LODR Compliance
- •Ongoing LODR advisory and disclosure support
- •Material event disclosure framework
- •Board, committee and governance advisory
- •Related party transaction (RPT) framework
PIT Framework
- •PIT code of conduct and structural digital database
- •UPSI identification and disclosure
- •Trading window and pre-clearance framework
- •Insider trading investigations
Corporate Actions
- •ICDR compliance for IPOs, QIPs, rights and preferential issues
- •Buyback and delisting compliance
- •Takeover (SAST) advisory and open offer
Enforcement
- •SEBI show-cause and adjudication representation
- •Settlement / consent order advisory
- •SAT appeal representation
How we work
- 01
Assess
Compliance gap assessment against SEBI framework.
- 02
Build
Policies, codes, systems and disclosure workflows.
- 03
Support
Ongoing filings, disclosures and board support.
- 04
Defend
SCN, adjudication and SAT representation.
Why clients choose us
- ✓End-to-end SEBI advisory across LODR, ICDR, PIT, SAST and enforcement
- ✓Practical compliance frameworks — usable, not just documented
- ✓Board and CFO-level advisory approach
Challenges we help you navigate
Fragmented advisors, uneven quality
Most sebi 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 sebi 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 sebi 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 sebi compliance decision for the first time
- ✓Growth and mid-market companies that need integrated sebi 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 sebi compliance matters
- ✓Listed and IPO-bound companies needing disciplined sebi compliance execution alongside disclosure obligations
What you receive
- Diagnostic memo on the sebi 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
When must a listed company make a material event disclosure?
As soon as reasonably possible, and no later than 24 hours from the event under SEBI LODR Regulation 30 read with Schedule III. Certain events have a 30-minute window from board decisions.
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Share a brief on your requirement and we'll respond with a clear path forward within one working day.