SEBI Compliances
Investment Advisers
Registration Services
In this service, we will assist you in getting yourself registered with SEBI and will include preparation of draft application along with all the necessary supporting documents along with business plan and various declarations. We ensure that every requisite document is being sent to the SEBI in the initial stage only so that Registration is done in in the hassle free manner.
Initial Compliance Setup
Our scope of work in this Service shall be setting up a one time initial Compliance Set up so that you can kick start your activity in line with the SEBI regulations. It will include preparation of Agreement, Policies, Procedures and other documents.
Appearance before SEBI / SAT
We can assist you in Drafting of reply to order, filing of documents and appearing before SEBI. If you are not satisfied with the SEBI Order, then we can help you out in filing the appeal with Securities Appellate Tribunal ("SAT")
Compliance Audit
In this service we will conduct an yearly Audit by gathering data along with the documents and will then analyze and review the same and then will provide you a Certificate in this regard. Investment Advisers are required to get the Compliance Audit done latest by 30th September every year.
Surrender Of Registration
If you are looking for surrendering your license then we will help you out in doing that in a streamline manner.
Monthly/Quarterly Services
Our scope of work in this service would be assisting you in smoothing your work and the focus would be on day to day compliances. Further, we shall ensure that no non-compliant or unethical practices is being followed by the Organisation.
Consultation
Have some specific query related to your case, or your Company or your firm with respect to SEBI Regulations? Then don't hesitate to contact us, we will assist you in the best manner possible.
Training For NISM Exams
Thinking of clearing NISM exam for yourself or for any of your employees?? Leave it to us, we will assist you in clearing NISM exams by providing you sufficient training and guidance.
Registration Services
In this service, we will assist you in getting yourself registered with SEBI and will include preparation of draft application along with all the necessary supporting documents along with business plan and various declarations. We ensure that every requisite document is being sent to the SEBI in the initial stage only so that Registration is done in in the hassle free manner.
Initial Compliance Setup
Our scope of work in this Service shall be setting up a one time initial Compliance Set up so that you can kick start your activity in line with the SEBI regulations. It will include preparation of Agreement, Policies, Procedures and other documents.
Monthly/Quarterly Services
Our scope of work in this service would be assisting you in smoothing your work and the focus would be on day to day compliances. Further, we shall ensure that no non-compliant or unethical practices is being followed by the Organisation.
Compliance Audit
In this service we will conduct an yearly Audit by gathering data along with the documents and will then analyze and review the same and then will provide you a Certificate in this regard.
Research Analysts
Listing
Initial Public Offer (IPO)
If you are looking to list your business on the Stock Exchange (BSE, NSE, MSEI) then we can certainly help you as we are connected with various Merchant Bankers and also have the exposure of this field.
Fund Raising
Are you in search of finance? then We will connect you with the experts that will you in planning, implementing, and managing fund raising initiatives that will raise the funds today and strengthen your organization for the future.
Delisting
The Promoters of a Company opting for voluntary delisting are required to give an offer to the other shareholders of the Company for acquisition of their shares under the delisting offer through reverse book building. The Promoters are required to appoint a Merchant Banker, who shall manage the delisting offer. With our team of our experienced persons, we assist the Promoters in delisting of securities from the Stock Exchange.
Compliances On Retainership Basis
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