SEBI Registration & Compliance Assistance The current regulatory environment has investment management firms wrestling with a growing number of requirements and expectations from both regulators and investors. The consequences of non-compliance with those requirements and expectations are regularly in the news and key stakeholders, such as investors, boards of directors, regulators and the public in general, are increasingly questioning the effectiveness of existing compliance programs. A sound system of compliance controls is essential in protecting your firm from business, regulatory and reputational risks. A strong compliance function will also become a factor of increasing importance which will define and set a firm apart from its competition. We provide below services to our clients: Investment Advisers Research Analysts Portfolio Managers Alternate Investments Funds Investment Advisers For new SEBI Investment Advisor registration applicants, we offer a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, preparing your registration. For Registered Investment Advisors (“RIA”), if managing the compliance of your firm is taking up too much time, causing too much confusion, or you need advice — we can help. We help RIA (individuals and body corporates) comply with the regulations. While taking the time to understand your compliance challenges, our team designs a customized compliance program that gives you the tools you need to stay compliant. Below are the services offered to RIAs: Registration application assistance Compliance Assistance Compliance Retainer support SEBI Annual Compliance Audit Business advisory Research Analysts For new SEBI Research Analyst registration applicants, we offer a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, preparing your registration. For Registered Research Analysts (“RA”), if managing the compliance of your firm is taking up too much time, causing too much confusion, or you need advice — we can help. We help RA (individuals and body corporates) comply with the regulations. While taking the time to understand your compliance challenges, our team designs a customized compliance program that gives you the tools you need to stay compliant. Below are the services offered to RAs: Registration application assistance Compliance assistance Compliance retainer support SEBI annual compliance audit Business advisory Portfolio Managers For new SEBI Portfolio Managers Registration applicants, we offer a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, preparing your registration.For registered Portfolio Managers (“PMS”), we assist in the development and implementation of the compliance program and compliance policies and procedures with an emphasis on operations and controls.Below are the services offered to PMS: Registration application assistance Compliance assistance Operations support SEBI compliance audit Business advisory Alternate Investments Funds For new SEBI Alternate Investments Funds Registration applicants, we offer a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, preparing your registration. For registered Alternate Investments Funds (“AIF”), we assist in the development and implementation of the compliance program and compliance policies and procedures with an emphasis on operations and controls. Below are the services offered to AIF: Registration application assistance Compliance assistance Operations support SEBI compliance audit Business advisory Share this:TwitterFacebookLike this:Like Loading...