Capital Markets & Securities Law
Our Capital Markets & Securities Law practice advises companies, promoters, directors, intermediaries, investors and individual market participants on legal and regulatory matters under Indian securities laws. We represent clients in advisory, enforcement and appellate proceedings before the Securities and Exchange Board of India (SEBI), recognised stock exchanges and the Securities Appellate Tribunal (SAT).
The practice focuses on matters involving regulatory scrutiny, market access, financial exposure and reputational risk, where precise legal strategy and regulatory experience are essential.
SEBI Regulatory Advisory & Compliance
We advise on compliance under the SEBI Act, regulations, circulars and exchange guidelines, including disclosure obligations, insider trading controls, takeover regulations, market conduct, corporate governance and continuing obligations. Our advisory supports listed companies, promoters and individuals in managing regulatory risk and responding to compliance requirements.
SEBI Investigations, Enforcement & Litigation
We represent clients in SEBI inspections, investigations, summons, statements, show cause notices, adjudication proceedings, penalty actions, restraint orders, trading restrictions, freezing of securities, attachment and recovery proceedings. Our work includes drafting regulatory responses, representing clients before SEBI authorities and advising on settlement, consent and remedial mechanisms.
Appeals before the Securities Appellate Tribunal (SAT)
We advise and represent clients in appeals before the Securities Appellate Tribunal against SEBI orders, including matters involving monetary penalties, debarment, prohibition from accessing the securities market and other enforcement directions. Our work covers appellate strategy, interim relief and final adjudication.
Insider Trading, Market Abuse & PFUTP Matters
We advise and defend clients in matters involving insider trading allegations, misuse of unpublished price sensitive information (UPSI), fraudulent and unfair trade practices, market manipulation and disclosure violations.
Promoters, Directors & Individual Regulatory Defence
We advise promoters, directors, key managerial personnel and individual investors on personal liability and defence in SEBI and SAT proceedings, including matters involving disqualification, freezing of demat securities, disclosure lapses and regulatory investigations.
Intermediaries & Market Participants
We advise SEBI-registered intermediaries including stock brokers, sub-brokers, merchant bankers, investment advisers, portfolio managers, alternative investment fund managers, registrars and transfer agents on compliance, inspections, enforcement action and regulatory structuring.
Broker System Failure, Trading Loss & Exchange Disputes
We advise clients in matters involving broker system failure, denial of risk management controls, unauthorised or erroneous trades, platform outages, algorithmic trading issues and regulatory non-compliance by brokers. Such disputes are examined under SEBI regulations, exchange by-laws, circulars and arbitration frameworks.
Capital Markets Transactions
We advise on securities law aspects of capital market transactions including public offerings, preferential allotments, rights issues, qualified institutional placements, open offers, takeovers and delisting, with focus on regulatory approvals and disclosure compliance.
Cross-Border Securities & Foreign Investor Advisory
We advise NRIs, foreign investors, offshore funds and international entities on Indian securities law compliance, FPI regulations, cross-border investment structures and regulatory exposure, including coordination with FEMA and allied financial regulations.
Practice Focus
This practice is structured for SEBI regulatory advisory, securities litigation, SAT appeals and capital markets compliance for companies and individuals. Retail investor grievance work is not undertaken.