REGULATORY AFFAIRS & ADVISORY:
Helping clients navigate complex regulatory frameworks with clarity, compliance and confidence.
Overview
ShriVara Law Offices provides comprehensive regulatory advisory services to help clients navigate the evolving and often complex Indian regulatory landscape. Our practice is
focused on enabling clients to remain compliant while pursuing their strategic and business
objectives in a commercially practical manner.
We assist clients in understanding and complying with a broad spectrum of laws and
regulatory frameworks, including those relating to the Companies Act, securities laws,
environmental laws, and allied regulatory requirements.
Our Regulatory Affairs & Advisory practice includes:
- Advising clients on compliance requirements under applicable laws and assisting in the preparation of compliance calendars;
- Providing support in identifying, addressing and regularising non-compliances, including for listed entities;
- Drafting and filing petitions, replies and settlement applications in connection with adjudication and settlement proceedings before SEBI, SAT and other regulatory authorities;
- Representing clients before SEBI, SAT, stock exchanges and other authorities in adjudication, settlement and regulatory proceedings, including hearings before the Adjudicating Officer and Whole Time Members of SEBI;
- Representing clients before stock exchanges in arbitration proceedings and Investor Grievance Redressal Committee (IGRC) hearings;
- Assisting with the registration of capital market intermediaries, including Portfolio Managers, Stock Brokers, Sub-Brokers and Alternative Investment Funds (AIFs); and
- Providing strategic regulatory support in relation to securities law compliance, investigations, regulatory correspondence and enforcement-related matters.
Representative Transactions
Companies Listed on SME Board:
Advising a client, drafting a settlement application and representing the client before a SEBI settlement panel in relation to delay in disclosures under Regulation 54 of the SEBI ICDR Regulations, which resulted in a favourable settlement outcome;
Advising a listed entity and representing it before the Adjudicating Officer as well as the SEBI settlement panel in relation to non-compliances under various provisions of the SEBI LODR Regulations, resulting in a favourable adjudication outcome;
Advising multiple investors and appearing before a SEBI investigation panel in relation to a SEBI matter involving more than 237 entities and individuals;
Appearing before IGRC Committees on behalf of investors and SEBI intermediaries in relation to complaints filed before stock exchanges; and
Drafting and finalising applications for registration of Category I and Category II AIFs before SEBI.