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Regulatory Registration and Compliance Support

Our team offers comprehensive support for regulatory registration and compliance, ensuring your business meets all necessary legal requirements efficiently and effectively.

Research Analyst

  • Registration Assistance – End-to-end guidance in obtaining SEBI registration for Portfolio Management Services.
  • Regulatory Compliance Setup – Structuring PMS operations in line with SEBI guidelines and reporting frameworks.
  • Investment Advisory & Client Agreement Drafting – Ensuring legally compliant agreements for seamless operations.
  • Assistance in SEBI Inspections & Queries – Preparing responses and handling compliance checks effectively.
  • Periodic Compliance & Reporting – Ensuring timely filings, including disclosure requirements to SEBI & clients.
  • Risk Management & Compliance Audits – Conducting internal audits to align with SEBI PMS regulations.
  • Representation Before SEBI & SAT – Advocacy and legal support in case of regulatory proceedings.
  • Drafting & Reviewing Investor Disclosures – Ensuring transparency and compliance in client communications.
  • Conciliation & Arbitration Support – Handling dispute resolution proceedings efficiently.
  • Regulatory Approvals & Business Structuring – Assistance in obtaining approvals and structuring PMS operations legally.

Investment Advisors

  • Registering as anInvestment Advisor (IA) with SEBI.
  • Understanding regulatory and compliance frameworks.
  • Complying with SEBI and Stock Exchange requirements.
  • Handling legal proceedings.
  • Drafting, reviewing, negotiating, and executing transaction agreements (share purchase, shareholder agreements).
  • Responding to queries and inquiries.
  • Conducting quarterly audits.
  • Performing yearly audits.

Investment Advisors

  • Guidance & Assistance in registering as a SEBI-Registered Investment Advisor (RIA).
  • Understanding & Complying with post-registration requirements as a registered intermediary.
  • Filing & Assistance with compliance audits, including annual and periodic reporting.
  • Expert Support in drafting replies to legal notices, show-cause notices, and regulatory inquiries.
  • Assistance in SEBI Inspections to ensure smooth compliance and regulatory adherence.
  • Comprehensive Compliance Audit as per SEBI Investment Advisor Regulations.
  • Representation & Advocacy before SEBI and the Securities Appellate Tribunal (SAT).
  • Reply Drafting & Legal Representation for conciliation and arbitration proceedings.
  • Assistance in Obtaining Necessary Approvals and ensuring ongoing regulatory compliance.

Portfolio Managers

  • Registering as a Portfolio Manager (PMs) with SEBI.
  • Understanding regulatory and compliance frameworks.
  • Complying with SEBI and Stock Exchange requirements.
  • Handling legal proceedings.
  • Drafting, reviewing, negotiating, and executing transaction agreements (share purchase, shareholder agreements).
  • Responding to queries and inquiries.
  • Conducting quarterly audits.
  • Performing yearly audits.

Other Registrations

  • Company/LLP Incorporation
  • Partnership/Proprietorship Registration
  • AMFI Registration
  • Stock Broker License
  • Alternative Investment Fund (AIF) Registration
  • IRDA Investment License

Other Registrations

  • Sub broking
  • Broking
  • Mutual Funnd Distributor

SEBI

  • We assist in drafting replies to SEBI inspection notices and show cause notices, ensuring a well-structured response to regulatory concerns. CS Abhishek Mishra, represents intermediaries before SEBI hearings, advocating their case effectively. We provide regulatory guidance and end-to-end compliance support, ensuring seamless adherence to SEBI regulations.

Services for Securities Appellate Tribunal (SAT)

  • CS Abhishek Mishra assists in filing and managing appeals before SAT, effectively challenging SEBI’s decisions. He represents clients at hearings, drafts responses, and provides strategic guidance throughout the appeal process. From initial filing to final verdict, he ensures comprehensive support at every stage.

Services for Securities Appellate Tribunal (SAT)

  • Appeals Before SAT: We file and manage appeals before the Securities Appellate Tribunal (SAT) on behalf of our clients, challenging adverse decisions made by SEBI.
  • Representation at SAT Hearings: We represent clients during SAT hearings, presenting arguments and evidence to support their case.
  • Response Drafting: We draft comprehensive replies and submissions for SAT, ensuring all relevant points are addressed and effectively communicated.
  • Strategic Guidance: We provide strategic advice on the appeals process, helping clients understand their options and the potential outcomes.
  • Full Support During Proceedings: From initial filing to final decision, we offer full support throughout the SAT proceedings, ensuring our clients are well-prepared at every stage.

Legal Proceedings

SEBI Legal Proceedings & Orders

SEBI Legal Proceedings & Orders

Navigating SEBI orders with in-depth knowledge and tailored strategies for optimal outcomes

Get to Know Our Another Best Services to Help Your Problems
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Securities Appellant Tribunal (SAT)

Securities Appellant Tribunal (SAT)

Providing expert representation to effectively manage and resolve SAT cases with strategic focus.

  • Our Testimonial

Client Testimonial

Our Excellence Speaks Through Our Clients’ Words.

"I underwent a SEBI inspection, followed by several post-inspection filings and submissions. Later, I also received a notice from SEBI. CS Abhishek Mishra provided complete end-to-end support throughout the process. His guidance made everything smooth and stress-free."

    Punit Kumar

    (INH000008844)

    "CS Abhishek Mishra handled my Annual Compliance Audit from start to finish with complete professionalism. The entire process was so smooth that I didn’t even feel the pressure. Everything was taken care of, and I was fully compliant without any hassle."

      Dipen Shah

      (INH000006077)

      "In today’s complex compliance environment, it’s a relief to have someone like CS Abhishek Mishra handling everything for me. He takes care of all my compliance matters seamlessly, and I can completely rely on him without worry."

        Rajnikant Bhalani

        (INH000010405)

        "CS Abhishek Mishra helped me manage an investor complaint, and the entire resolution process was so seamless. I was initially overwhelmed by the compliance requirements, but Sir handled everything with such ease that all my worries were taken care of."

          Akhand Tripathi

          (INA000010779)

          "CS Abhishek Mishra played a key role in setting up my compliance framework. With his support, I’m assured that all regulatory requirements are properly handled. It gives me the freedom to focus entirely on my business, knowing that compliance is in safe hands."

            Jayesh Mahesh Jobanputra

            (INH000017125)

            "CS Abhishek Mishra helped me throughout the process of obtaining my license. It was a smooth and relaxing experience with complete end-to-end support. Everything was handled so efficiently that the entire process felt effortless."

              Syam Kumar Reddy Adapa

              (INH000018869)

              Get in touch & Stay Updated with Regulator's next move.

              • Monday - Friday: 10 am - 6 pm
              • Saturday: 10 am - 2 pm
              • Sunday: Closed
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