Foreign Investment Compliances

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Foreign Investment Compliance

Foreign Direct Investment (FDI) and Foreign Portfolio Investment (FPI) drive India’s economic growth, governed by FEMA, 1999, RBI’s FDI Policy, SEBI Act, 1992 and Companies Act, 2013. FDI requires filings like Form FC-GPR for share allotments and compliance with sector-specific caps, while FPIs need SEBI registration. Non-compliance risks penalties (e.g., ₹5,000–₹5 lakh for late FC-GPR, ₹10,000 for PAS-3). 

Novam Legal ensures seamless compliance with RBI, SEBI, DPIIT and ROC requirements, handling approvals, filings and monitoring for secure market entry. Here’s how Foreign Investment Compliance delivers value for your business:

  • Regulatory Compliance Align with FEMA, RBI, SEBI and ROC (e.g., FC-GPR, PAS-3), avoiding penalties.
  • Tailored Strategies Customized FDI/FPI solutions for sector-specific and jurisdictional rules.
  • Efficient Filings Timely documentation and approvals (e.g., DIPP, RBI) for smooth operations.
  • Risk Mitigation Proactive compliance prevents fines and ensures investment security.
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    Process Steps for a Foreign Investment Compliance with Novam Legal

    Investment Assessment

    We analyze your FDI/FPI goals, sector and RBI/SEBI/ROC requirements.

    Compliance Strategy

    We develop a tailored plan for FDI caps, FPI limits and ROC filings.

    Document Preparation

    We prepare FC-GPR, PAS-3, FIRC and other filings for accuracy.

    Approval Coordination

    We secure RBI, DIPP and SEBI approvals, handling all queries.

    Ongoing Monitoring

    We track compliance and file annual FLA reports for RBI.

    Benefits of Foreign Investment Compliance

    Seamless Market Entry

    Navigate FDI automatic/approval routes and FPI registration for quick setup.

    Enhanced Trust

    RBI/SEBI/ROC compliance builds credibility with investors and regulators.

    Investment Stability

    Legal adherence ensures secure, long-term operations in India.

    Penalty Avoidance

    Avoid fines (e.g., ₹5,000 for FC-GPR delays, ₹10,000 for PAS-3) with timely filings.

    Growth Opportunities

    Access FDI incentives, tax benefits and market expansion potential.

    Prerequisites for Foreign Investment Compliance

    • Investment Agreement FDI/FPI terms, including share valuation and ownership structure.
    • Entity Documents Incorporation certificates and KYC of the investing entity.
    • Proof of Funds Bank statements and Foreign Inward Remittance Certificate (FIRC).
    • Regulatory Forms Drafts for FC-GPR, PAS-3 and SEBI registration applications.
    • Sector Details Information on the investment sector and applicable FDI/FPI caps.

    Deliverables for a Foreign Investment Compliance with Novam Legal

    • Compliance Report: Detailed status of FDI/FPI compliance, including FC-GPR and PAS-3.
    • Compliance Strategy: Tailored plan for FDI/FPI regulations and ROC filings.
    • Prepared Filings: Completed FC-GPR, PAS-3, FIRC and FLA for RBI/ROC submission.
    • Regulatory Approval and Licensing: Secured RBI, DIPP, SEBI approvals and licenses for operations.
    • Ongoing Compliance Monitoring: Annual FLA filings and updates on FDI/FPI regulatory changes.

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    Frequently asked Questions

    It ensures FDI and FPI adhere to FEMA, RBI, SEBI and Companies Act regulations, enabling legal market entry.

    DPIIT (FDI policy), RBI (FEMA enforcement) and SEBI (FPI registration) oversee foreign investments.

    File Form FC-GPR within 30 days of share allotment, with FIRC and KYC, via RBI’s FIRMS portal.

    Up to ₹5,000 or 1% of investment (max ₹5 lakh) for first 6 months; doubled thereafter.

    Apply online via DPIIT’s FIFP portal; ministries process per SOP, no physical copy needed with digital signatures.

    FDI involves long-term control (e.g., equity stakes); FPI is short-term financial investment (e.g., stocks).

    File FC-GPR, adhere to sector caps and submit annual FLA reports under FEMA, 1999.

    File Form PAS-3 for share allotments and ensure board approvals under Companies Act, 2013.

    Automatic route requires no approval; government route needs DIPP clearance for restricted sectors.

    DPIIT formulates FDI policy, approves investments in restricted sectors and processes applications via the FIFP portal.

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