Other Services

Assistance with the registration process for Authorized Persons and conducting regular audits to ensure compliance with regulatory requirements.
Conducting periodic audits to assess the Authorized Person’s compliance with SEBI, Stock Exchange, and other regulations.
Evaluating adherence to agreements, operational standards, and reporting requirements.
Identifying gaps and providing actionable recommendations to address them.
Regular updates on regulatory changes impacting Authorized Persons.
Assistance with filing reports and maintaining proper records as required by Stock Exchanges or SEBI.

Development and review of comprehensive policies and procedures to align with regulatory standards and improve operational efficiency.
Aligning policies with applicable regulatory frameworks like SEBI, Stock Exchanges, Depositories, and other competent authorities.
Regular review of existing policies to ensure relevance with the latest regulations.
Updating policies to reflect organizational changes, new risks, or regulatory amendments.
Customizing policies based on the industry, size, and operational scope of the organization.

Customized training programs and awareness sessions to educate staff and stakeholders about compliance, regulations, and best practices.
Providing in-depth knowledge of key regulations of SEBI, i.e., AIF, PMS, Investment Adviser, Research Analysts, Stock Broking, DP, Gift City, Merchant Banker, Authorized Person.
Training on Anti-Money Laundering (AML), insider trading norms, and other critical compliance topics.
Educating teams on internal policies and Standard Operating Procedures (SOPs).
Updates on recent regulatory amendments, regulatory orders, and their implications.

Provision of certification services for financial statements and professional accounting services tailored to your business needs.
Certifying net worth, shareholding patterns, and directorship details in a specific format prescribed by the regulator.

Support in meeting regulatory compliance requirements and preparing for pre-inspections to ensure readiness and minimize risks.
Ensuring timely submission of regulatory filings and returns.
Guiding organizations in maintaining compliance with SEBI, Stock Exchanges, and other regulators.
Conducting mock inspections to identify potential gaps or risks.
Compiling necessary documentation and reports in alignment with regulatory expectations.
Assisting with the implementation of corrective actions following inspections or audits.

End-to-end secretarial support, including filing, documentation, and ensuring adherence to corporate governance standards.
Ensuring adherence to corporate governance standards under the Companies Act or SEBI LODR.
Assistance in handling daily secretarial tasks efficiently.

Guidance and assistance in registering as Foreign Portfolio Investors (FPI) or Accredited Investors, ensuring seamless compliance with regulatory frameworks.
Guidance on eligibility criteria and the application process for FPI and Accredited Investor registration.
Preparation and submission of required documentation to regulators.
Ensuring that all regulatory requirements, such as investment limits and disclosures, are met.
Ongoing compliance advisory for maintaining FPI or Accredited Investor status.

Specialized support in managing and executing changes in control, including necessary documentation and regulatory filings.
Assistance in preparing documentation related to changes in control applications to SEBI/Stock Exchanges/Depositories.
Filing required forms and submissions with regulators.
Ensuring that changes in control adhere to regulatory and corporate governance standards.

Comprehensive services to address and resolve investor grievances efficiently, fostering trust and transparency.
Guiding organizations on best practices for handling complaints effectively.
Ensuring timely reporting and resolution of grievances as per regulatory guidelines.

Recruitment and placement solutions to help you onboard skilled professionals who meet your organizational needs.
Identifying and screening candidates based on the organization’s requirements.
Assisting in onboarding procedures, including documentation and orientation programs.

Conducting in-depth surveillance audits in compliance with FIU/SEBI/Stock Exchanges/Depositories norms, identifying any gaps for providing better solutions.
Conducting periodic surveillance audits to monitor regulatory compliance.
Assessing operational risks and providing actionable recommendations to address them.
Reviewing internal controls and operational processes for adherence to policies.
Preparing detailed audit reports with findings and corrective action plans.

Expert guidance on offshore regulatory compliance to facilitate smooth operations in international markets.
Guidance on meeting offshore compliance requirements for global operations.
Preparing and submitting necessary forms and documents for offshore regulatory filings.
Liaising with international regulatory bodies and consultants to ensure smooth compliance.