Services

SEBI And FEMA Regulations Compliance

At Dang & Associates, we provide expert advisory and compliance services related to the Securities and Exchange Board of India (SEBI) regulations and the Foreign Exchange Management Act (FEMA). These two regulatory frameworks are crucial for businesses involved in securities trading, foreign investments, and cross-border transactions. Our team ensures that your company adheres to the complex compliance requirements set forth by SEBI and FEMA, minimizing the risk of legal and financial penalties, and fostering smooth operations in India’s regulated markets.

1. SEBI Compliance Services

SEBI plays a pivotal role in regulating the securities market in India. Compliance with SEBI regulations is vital for businesses operating in the capital markets, including listed companies, brokers, merchant bankers, and other market participants. Our SEBI compliance services include:

a) Securities Market Compliance

• Listing & Disclosure Requirements – Assisting listed companies in meeting their mandatory disclosure requirements under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 (LODR), including the filing of quarterly, half-yearly, and annual financial statements, corporate governance reports, and material event disclosures.
• Initial Public Offerings (IPOs) & Rights Issues – Guidance through the process of issuing an IPO, rights issue, or follow-on public offering (FPO), ensuring compliance with SEBI’s regulations on capital raising, pricing, and disclosures.
• SEBI Investigations & Inspections – Representing companies during SEBI investigations or inspections, assisting in responding to notices, and ensuring that the company’s activities remain within regulatory guidelines.
• Regulations for Listed Companies – Ensuring compliance with specific regulations for listed companies, including shareholding patterns, corporate governance practices, and insider trading regulations under SEBI’s (Prohibition of Insider Trading) Regulations.
• Securities Trading Compliance – Assisting companies and investors in understanding and adhering to SEBI’s regulations concerning the trading of securities, including reporting of market transactions, disclosures by promoters, and shareholding disclosures.

b) Investor Protection & Market Integrity

• Insider Trading Regulations – Ensuring that listed companies adhere to SEBI’s insider trading regulations, including the prohibition of trading on the basis of unpublished price-sensitive information (UPSI).
• Takeover Regulations – Advising on SEBI’s Takeover Code, including compliance with the mandatory open offer provisions in the case of acquisitions, mergers, and significant shareholding changes.
• Share Buyback Regulations – Providing guidance on compliance with SEBI’s regulations related to share buybacks, including the procedure for conducting a buyback and filing required disclosures with SEBI.
• Corporate Governance Compliance – Assisting with compliance in the areas of board structure, independence of directors, audit committees, and related party transactions, as required under SEBI’s corporate governance guidelines.

c) SEBI Registration & Licensing

• Intermediary Licensing – Assisting financial intermediaries like brokers, merchant bankers, portfolio managers, and other market participants in obtaining the necessary licenses from SEBI and ensuring continued compliance with SEBI’s operational norms.
• Investment Advisers Compliance – Helping individuals and firms involved in investment advisory services with the process of registering with SEBI as an investment adviser and complying with related regulations.
• Foreign Institutional Investors (FII) Registration – Assisting foreign institutional investors in obtaining SEBI registration, ensuring compliance with regulatory requirements related to the entry and exit of foreign investments in India.

2. FEMA Compliance Services

The Foreign Exchange Management Act (FEMA) regulates foreign exchange transactions in India, ensuring that foreign investments, payments, and remittances comply with Indian law. Our FEMA compliance services are essential for businesses engaged in international trade, cross-border investment, and foreign remittances. We provide:

a) Foreign Investment & Repatriation

• Foreign Direct Investment (FDI) Compliance – Advising on compliance with FEMA regulations related to foreign investments in India, including sectoral caps, automatic routes, and government approval procedures for FDI.
• External Commercial Borrowings (ECBs) – Assisting businesses in obtaining ECBs, ensuring compliance with FEMA’s guidelines on the borrowing and lending of foreign currency loans, and managing documentation and reporting requirements.
• Repatriation of Profits & Funds – Advising on the repatriation of funds, dividends, and profits by foreign investors, ensuring compliance with RBI and FEMA guidelines on foreign currency remittances.
• RBI Reporting & Approvals – Assisting in obtaining necessary approvals from the Reserve Bank of India (RBI) for cross-border transactions, investments, and capital repatriation.

b) Cross-Border Transactions & Remittances

• Cross-Border Payments & Receipts – Ensuring compliance with FEMA rules for cross-border payments and receipts, including remittances for trade, services, and investments, and providing guidance on documentation and reporting requirements to RBI.
• Foreign Exchange Transactions – Providing advisory on compliance with FEMA regarding foreign exchange transactions, including the purchase and sale of foreign currencies for business purposes, foreign exchange derivatives, and currency hedging.
• Liberalized Remittance Scheme (LRS) – Advising individuals and businesses on the Liberalized Remittance Scheme (LRS) for outward remittances, including compliance with RBI’s guidelines and thresholds for remitting funds abroad.

c) FEMA Audits & Reporting

• FEMA Audits – Conducting audits for businesses to assess their compliance with FEMA’s provisions related to foreign exchange transactions, FDI, ECBs, and other cross-border dealings, helping identify potential risks and non-compliance.
• Regulatory Filings – Assisting with the filing of necessary forms with the RBI, including Form FC-GPR (for FDI) and Form ODI (for outbound investments), ensuring that filings are completed in a timely and accurate manner.
• Transaction Reporting – Ensuring that foreign exchange transactions are accurately reported to the RBI in accordance with FEMA’s prescribed formats and deadlines.

d) FEMA Advisory for NRIs & Foreign Investors

• Non-Resident Indians (NRI) Compliance – Advising NRIs on investments in India, including compliance with FEMA’s provisions for repatriation, investments in Indian securities, and real estate transactions.
• Investment Structuring – Helping foreign investors structure their investments in Indian businesses and assets in a manner compliant with FEMA regulations, ensuring ease of repatriation and tax efficiency.

3. Dispute Resolution & Legal Support

In cases of non-compliance or disputes relating to SEBI and FEMA regulations, Dang & Associates provides expert legal support to help resolve matters swiftly:

• Representation before SEBI & RBI – Representing clients in front of SEBI and RBI in cases involving violations of securities and foreign exchange regulations, ensuring that clients are fully informed of their rights and obligations.
• Regulatory Investigations & Enforcement Actions – Assisting in SEBI and FEMA-related investigations, helping businesses respond to notices, and managing enforcement actions, penalties, or sanctions.
• Litigation Support – Offering legal support in resolving disputes in courts or tribunals regarding SEBI or FEMA violations, including seeking relief, representing clients in proceedings, and negotiating settlements.

Why Choose Dang & Associates for SEBI & FEMA Compliance?

• Expertise in Capital Markets & Foreign Exchange Regulations – Our team has in-depth knowledge of SEBI and FEMA regulations, ensuring that your business complies with all relevant provisions.
• End-to-End Regulatory Support – From registration, disclosure, and reporting to dispute resolution, we provide complete support in navigating SEBI and FEMA requirements.
• Tailored Compliance Solutions – We offer customized compliance solutions that align with your business’s structure, operations, and regulatory environment.
• Timely & Accurate Filings – Ensuring that all filings are completed within prescribed timelines to avoid penalties and interest.
• Proactive Approach – We proactively monitor regulatory changes and provide timely advice to keep your business ahead of potential compliance issues.

At Dang & Associates, we are committed to providing comprehensive SEBI and FEMA compliance services that help businesses stay in full compliance with regulatory frameworks, avoid legal risks, and focus on their core operations.
Let us help you navigate the complexities of securities and foreign exchange regulations, ensuring the smooth and lawful operation of your business.