Regulatory Advisory & Dispute Resolution


Regulatory Advisory

The Firm advises extensively on regulatory laws. We assist in formation, recognition and registration of new intermediaries, such as Foreign Portfolio Investors, Alternative Investment Funds, NBFCs, Portfolio Managers and Investment Advisors. We provide legal opinions and advisory services to corporate houses and intermediaries on applicability and interpretation of regulatory laws, including regulations relating to insider trading, fraudulent and unfair trade practice, takeover, outsourcing of activities by insurers, protection of policyholders’ interests, licensing and registration of food business, combinations, digital information security, etc.

We also advise clients on insurance law, leveraging our experience of advising the insurance regulator on various matters before the Securities Appellate Tribunal. We have experience in drafting policies for insider trading, corporate governance, internal code of conduct for intermediaries and prevention of sexual harassment at the workplace. We also provide training to our clients on insider trading and corporate governance, and have experience of conducting seminars for training senior management and employees. Additionally, we have successfully made applications for exemptions under the takeover regulations, relaxation under listing requirements and reclassification of promoters for our clients. The Firm advises clients on a range of competition issues, including advising on preventive compliance work, and assisting with merger filings.

Regulatory Dispute Resolution

Our team is comprised of lawyers who have litigated significant regulatory matters. With a focus on dispute resolution on the regulatory side, we excel in regulatory enforcement and litigation representation. We represent clients in proceedings before regulators and their appellate tribunals. We have experience in drafting of replies to show cause notices, ad-interim orders, summons and letters requesting information. We assist clients in regulatory surveillance, inspection, investigation, consent or settlement, attachment or recovery proceedings.

We have successfully represented clients (including listed companies, independent directors, brokers, portfolio managers, investors, promoters, etc.) in various matters before the Securities and Exchange Board of India and Securities Appellate Tribunal.  We also represent our clients before the Competition Commission of India, National Company Law Appellate Tribunal as well as the Supreme Court in matters involving allegations of anti-competitive agreement and abuse of dominant position.