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Compliance & Investigation

Board of directors of companies, intermediaries and their key personnel face a growing range of threats to their business and reputations. The Firm has a distinct experience in regulatory arena to assist in conducting internal investigations as well as defending during the investigations or forensic audits by RBI, SEBI, IRDAI, PFRDA, IFSCA and IBBI.

Managing risk has become a top priority for listed companies, their boards and key managerial personnel given the rise in enforcement by regulators in India. With a team that has previously worked with the Regulator, the Firm specializes in Compliance & Investigation support. We advise clients on how to best mitigate regulatory risks by regular internal examination. The advice is not limited to individual legal aspects and situations. We offer comprehensive solutions based on a combination of our legal expertise, our business management know-how and our experience.


The Firm also help clients in regulatory compliance in allegations of wrongdoings, fraud, insider trading, unauthorized transactions and governance related issues. We navigate clients through various regulatory risks and assist with their reputation, their business operations and from potential criminal, civil and regulatory liability, and help conduct their business ethically without sacrificing profitability.


Our services include both reviewing and structuring risk management programs for market-leading companies and representing clients in large scale internal or regulator-driven investigations. We draft replies to show cause notices, interim orders, summons and letters requesting information for our clients.


The Firm has successfully defended its clients including cases of insider trading, securities fraud, deemed public issues, non-disclosures of regulatory norms, syphoning of funds and unregistered activities. The Firm has also conducted internal investigations for corporates (including assistance to boards in removing a functionary for misconduct) while preparing a compliance report with recommendations for better compliance.