Regulatory Advisory

Regulatory Advisory provides comprehensive end-to-end Corporate Secretarial Advisory and Compliance services. Our experts represents clients before regulatory authorities including the Registrar of Companies, Regional Directors, the National Company Law Tribunal, and the Securities Appellate Tribunal.

Beyond advisory services, continuous compliance support encompasses the preparation of board and committee documentation, organization and documentation of shareholder meetings, maintenance of statutory records, and audit and certification of all corporate events and annual compliance filings with the Ministry of Corporate Affairs

We combine deep regulatory expertise with execution capability. We don’t merely provide services, we solve problems. Our team advises, drafts, files, and implements decisions. Our proactive approach integrates governance best practices through a structured process that ensures timely, accurate, and compliant delivery across every engagement.We also believe this requires interpreting laws through a proactive lens that helps corporations navigate complex regulatory environments with integrity and in compliance with both the substance and form of the law.

Seamless secretarial due diligence and monitoring provide continuous compliance and robust corporate governance. It guides in real time to identify gaps in statutory filings, records and governance practices and minimize legal and regulatory risk. Through regular monitoring, corrective actions can be taken in a timely fashion, transparency can be increased, and laws can be followed. It helps to build trust with stakeholders by keeping accurate records and facilitating efficient operations and decision making.

We can be retained by companies for continuous compliance management or retained for a specific Corporate Action (Transaction). Our team helps the management team in daily secretarial compliances by providing timely regulatory updates which are converted into actionable monthly compliance calendars, checklist/step plans for each corporate action. Drafts/reviews documents and statutory documents in detail and coordinates across in-house teams. It enhances governance through policy, internal control and supports board / committee processes.

Yes, we provide IPO and pre-fundraising readiness support for fundraisings. Our team carries out secretarial due diligence / compliance health checks and asses governance and provide remedy with documentation clean-up and certification. Our goal is to help client entities have a clean, governance compliant profile that is able to stand up to intense investor and regulatory scrutiny. We provide company team for IPO preparedness to set up VDR, respond to every requisition list & MIS, Prepare Certificates, Chapters of Offer documents and all corporate events prior, during and after IPO including certification from PCS.

The organization serves a wide range of entities, including unlisted and listed companies, multinationals, wholly owned subsidiaries of foreign companies, joint ventures and collaborations, limited liability partnerships, startups, family-managed businesses, NBFCs, AIFs, social enterprises such as NGOs, trusts, Section 8 companies, and entities operating in GIFT City/IFSC.Services are tailored to each client’s specific regulatory framework, lifecycle stage, and business needs. The firm supports businesses across diverse industries like manufacturing, logistics, defence, technology, financial services, real estate, and professional services, with specialized expertise suited to sector-specific requirements.

For early-stage companies, we establish a strong base in governance, risk management and compliance. We offer an effective governance framework, well-defined board roles and a robust policy compliance, with proper policy development, setting up of a code of governance, delegation matrices, charters and legal compliance alignment. Our team also delivers management team and KMP training and ongoing advisory services all throughout the business process.

We navigate the complexities of structuring and managing investor rights, ESOPs and cap tables clearly and compliantly. Our team supports entrepreneurs in maintaining a clean cap table by providing them with accurate pre- and post-money valuation analysis, strategies to retain controlling stake, and dilution planning. We can advise and design ESOP/SAR and other incentive schemes to help retain key employees. We also help in drafting shareholder and investor agreements, providing clear ownership documentation, equitable distribution of stakeholder rights, disclosures that comply with relevant regulations and laws, and enabling informed decision-making processes as the business grows.

We offer a full suite of capital market advisory for pre and post IPOs, which includes FPOs, Rights Issues and Preferential Issues, with a focus on secretarial and compliance support. We advice on compliance with listing regulations, insider trading regulations, related party transactions, ESOP and remuneration to managerial personnel. Our team assists with in-house teams of companies in developing and preparing of offer documents, policies, board and committee approvals and investor approvals, and ensure accurate, timely disclosures with the stock exchanges, supporting the companies to maintain regulatory discipline, transparency and investor confidence in the capital market journey.

We help organizations achieve compliance with privacy regulations and frameworks, including DPDP, GDPR, HIPAA, and HITRUST, through tailored advisory and compliance support. Our services include gap assessments, implementation guidance, remediation support, and compliance reporting to strengthen data protection and privacy governance.