Regulatory Practice & Securities Laws

Reputed as the preferred Firm for matters related to Securities laws in India, AZB & Partners’ clients include several of the world’s largest and most recognisable financial services firms, as well as top global investment banks and some of the larger domestic investment banks. The Firm has also advised several US and European hedge funds and gained considerable experience in the offshore derivatives market.

The Firm engages in constructive dialogue and open discussions with the securities regulator, so as to build a comprehensive understanding of the regulatory mind set and provide relevant and insightful advice to our clients.

AZB & Partners has a deep understanding of governance related issues, many of which are unique to India. We are often approached by the board of directors and prominent independent directors of leading Indian corporates to leverage our experience in dealing with corporate governance issues.

Our work includes:

  • Advising and assisting on the entire suite of proceedings and applications before regulators, including exemption applications, informal guidances, responding to enquiries and investigations, show-cause notices and other proceedings
  • Advising on matters related to classification, de-classification and liabilities of promoters
  • Advising and assisting on issues relating to corporate governance and the listing regulations
  • Issues related to investments by foreign institutional investors and venture capital firms, takeover and insider trading regulations, delisting, asset management, mutual funds, wealth management, trading and settlement, custody and depositories and other SEBI regulations
  • Creation of compliance manuals, setting up KYC procedures and anti-money laundering mechanisms

The Firm has represented several leading clients in complex regulatory proceedings before the Securities and Exchange Board of India, Reserve Bank of India, the Securities Appellate Tribunal and the Serious Frauds Office. The Firm advises financial intermediaries with respect to their financial products offerings, structured products, listing and trading of such products. In this regard, the Firm regularly liaises with the Bombay Stock Exchange and the National Stock Exchange of India.

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