Ensure your investment portfolios and corporate actions strictly adhere to SEBI, RBI, FEMA, and ROC regulations with Novam Legal's expert compliance services.
Investment compliance ensures portfolios and corporate actions align with regulatory standards, including SEBI Investment Advisers Regulations, 2013, RBI guidelines, FEMA, 1999 and Companies Act, 2013.
verifiedComprehensive Compliance
— Align with SEBI, RBI, FEMA and ROC (e.g., PAS-3 for share allotments), avoiding penalties.
ruleTailored Frameworks
— Custom rules for investment policies, FDI and share issuance compliance.
manage_searchTrade and Allotment Oversight
— Pre/post-trade and share allotment checks (e.g., FC-GPR, PAS-3) ensure accuracy.
handshakeInvestor Trust
— Robust SEBI, RBI and ROC compliance builds client and regulator confidence.
Need help with this service?Talk to our expert — it's free
route Process
How We Work
1
Compliance Assessment
We review portfolios, policies, SEBI, FEMA, RBI, and ROC share allotment obligations.
2
Rulebook Development
We craft a rulebook for SEBI, RBI (e.g., FDI), and ROC (e.g., PAS-3) compliance.
3
Monitoring Setup
We establish pre/post-trade and share allotment checks (e.g., FC-GPR, PAS-3) with alerts.
4
Regulatory Updates
We track SEBI, RBI, and ROC updates, adjusting your framework proactively.
5
Audit and Reporting
We support SEBI/ROC audits and provide regulator-ready reports, including PAS-3, FC-GPR.
6
Training and Support (optional)
Ongoing training and support are available as an optional, chargeable service to help your team stay up to date with regulatory changes and compliance requirements.
checklist Prerequisites
Information Required
Details of investment objectives, risk and share allotment strategies.
SEBI, RBI, FEMA and ROC regulations for investments and allotments.
Access to holdings, trades, share issuance and FDI records.
List of portfolio managers, compliance officers and ROC filers.
Agreements for mandates, allotments and foreign investments.
Comply with SEBI, RBI, FEMA and ROC (e.g., PAS-3) to avoid fines or license issues.
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Investor Protection
Fiduciary and share allotment compliance prioritize client interests.
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Enhanced Trust
Transparent SEBI, RBI and ROC practices build investor confidence.
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Risk Management
Controls for trades and allotments (e.g., FC-GPR) minimize errors.
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Performance Alignment
Align strategies with investment and regulatory goals (e.g., FDI rules).
Get started todayFree expert consultation included
inventory_2 Deliverables
What You Receive
menu_bookCustomized Compliance Rulebook — Tailored framework for SEBI, RBI, FEMA and ROC (e.g., PAS-3) adherence.
monitorMonitoring Protocols — Pre/post-trade and share allotment checks (e.g., FC-GPR, PAS-3) with alerts.
updateRegulatory Updates — Ongoing SEBI, RBI, FEMA and ROC guidance and adjustments.
reportCompliance Reports — Audit-ready reports, including PAS-3 and FC-GPR, for regulators.
support_agentAudit and Filing Support — Assistance for SEBI/ROC audits and filings (e.g., PAS-3, FC-GPR).
quiz FAQ
Frequently Asked Questions
It ensures investment activities align with SEBI regulations, internal policies and client mandates, promoting ethical and legal practices.
It prevents SEBI penalties, protects investors and maintains market integrity, per the SEBI Act, 1992.
They monitor portfolios, flag breaches, implement SEBI rules and support audits to ensure compliance.
By maintaining SEBI-compliant programs, conducting risk assessments and updating policies regularly.
It outlines SEBI-compliant policies, trading rules, ethics and reporting for investment advisors.
To prevent SEBI violations through monitoring, training and documentation, ensuring regulatory adherence.
Novam Legal streamlines SEBI compliance, audits and reporting, reducing risks and saving time.
SEBI regulates advisors and portfolios, enforcing fiduciary duties and audits under the 2013 Regulations.
Investment advisors must conduct annual audits, per SEBI Investment Advisers Regulations, 2013.
Non-compliance risks SEBI penalties, license revocation and loss of investor trust.
Advisors must register, maintain a compliance program, conduct annual audits and follow fiduciary duties, per 2013 Regulations.
ROC requires Form PAS-3 for share allotments under the Companies Act, 2013; RBI and FEMA mandate FC-GPR for foreign investments, ensuring FDI compliance. Novam Legal handles all filings.
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Why Choose Novam Legal
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Reliable & Trustworthy
Choose us for end-to-end legal services backed by secure, dependable processes you can count on.
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Transparent & Affordable Pricing
No hidden charges, just cost-effective legal solutions.
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Dedicated Expert Assistance
Personalized guidance from startup legal experts for a smooth process.
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What Our Clients Say
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Exceptional service — our clients consistently praise the speed, accuracy, and professional quality of our work.
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Novam Legal has transformed the way we manage our legal needs. From easy document uploads to secure client dashboards, everything is so streamlined.
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Adesh DikshitFounder, Fintech
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Working with Novam Legal has been a breeze. Their platform is incredibly user-friendly. Customer support is top-notch!
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Rupan OberoiHR Head, Logistic Company
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I had trouble finding affordable and reliable legal services until I came across Novam Legal. Everything so convenient.
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Ashish GuptaFounder, Tech Company
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Security is crucial for sensitive legal documents. Novam Legal has gone above and beyond ensuring all my documents are safely stored.
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The trademark filing process was seamless. Got my certificate in record time. Highly recommend Novam Legal for any IP-related work.
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Priya SharmaDirector, Fintech Company
★★★★★
From company incorporation to GST registration — Novam Legal handled everything end to end. Saved us weeks of effort.
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Arjun KapoorCo-founder, BuildStack
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Investment Compliance
Tailored compliance solutions to help businesses stay compliant
Choose Your Investment Compliance Plan
Best for: Startups & Early-Stage Businesses
Basic Compliance
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Initial Compliance Assessment
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Basic Rulebook Development
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Standard Regulatory Updates
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Best for: Growing Businesses & Investment-Ready Companies
Comprehensive Compliance
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Initial Compliance Assessment
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Customized Rulebook Development
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Monitoring Setup
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Regulatory Updates
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Audit & Filing Support
Best for: Large Businesses, Funded Startups & Corporates
Advanced Compliance & Support
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All Standard Features
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Enhanced Monitoring & Alerts
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Proactive Regulatory Adjustments
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Dedicated Audit & Filing Support
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Optional Training & Support
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