We provide comprehensive legal, regulatory, and structuring advisory across the financial services ecosystem, assisting clients in navigating complex frameworks and securing necessary approvals for seamless market entry and operations.

Advisory on Investment Routes

• Offshore hedge funds investing in India under the Foreign Portfolio Investment (FPI) route.

• Offshore entities and funds investing in India under the Foreign Direct Investment (FDI) and/or Foreign Venture Capital Investment (FVCI) routes.

• Establishment and regulatory approvals for stock broking businesses in India.

• Overseas investments by Indian residents into foreign entities/funds.

• Cross-border securities offerings and marketing to Indian investors.

• Advisory on laws governing financial services entities, including:

  • Banking companies, stock exchanges, clearing corporations, insurance companies.

  • Asset management companies, investment advisers, research analysts, and portfolio managers.

 

Drafting, Negotiation & Review

• Drafting and review of offer documents from an Indian legal and regulatory perspective.

• Preparation and negotiation of agreements, including:

  • Custody agreements, broker-dealer agreements, clearing and settlement agreements, escrow agreements.

  • Investment advisory agreements, ISDA-related documents, ODI subscription agreements.

• Drafting and review of regulatory filings and representations, including statutory applications.

• Preparation of disclosure filings under Indian takeover laws and securities regulations.

• Issuance of legal opinions and advisory memorandums on regulatory issues.

 

Regulatory Approvals & Licenses

• Registrations with SEBI, including FPI, FVCI, Investment Adviser, Research Analyst categories.

• RBI applications and approvals, including NBFC registration and share acquisition approvals for banking companies.

 

Regulatory Litigation & Representations

• Representations before RBI and SEBI in regulatory proceedings.

• Filing and management of compounding applications with RBI under FEMA.

• Responding to show-cause notices issued by SEBI in securities law matters.

• Filing of settlement and consent applications with SEBI.

• Project management and strategic advisory for regulatory representations and settlements.