Compliance Solutions for Fiduciary Advisors
Navigate India’s evolving regulatory landscape with confidence. Our compliance service is built to help your advisory firm meet all statutory requirements while maintaining enduring fiduciary standards.
Stay audit-ready and mitigate risks with expert support including regulatory filings, policy development, ongoing compliance monitoring, and training. Our holistic approach safeguards your practice as regulations evolve.
SEBI Registration & Filings
- Assistance with SEBI registration formalities
- Preparation & submission of statutory filings
- Ongoing compliance with registration requirements
Policy Development & Review
- Creation and updating of fiduciary compliance policies
- Alignment with evolving regulatory frameworks
- Best practice audit readiness procedures
Audit Readiness Support
- Mock audits and regulatory exam preparation
- Documentation management and disclosures support
- Ensuring audit trails and records compliance
Regulatory Monitoring & Advisory
- Proactive tracking of SEBI and domestic regulatory updates
- Risk management framework guidance
- Compliance automation tool integration
Training & Awareness Programs
- Compliance training for advisory teams
- Awareness sessions on fiduciary duties and regulatory changes
- Custom workshops and refresher courses
Documentation & Contract Management
- Management of compliance documentation
- Review and support for regulatory disclosures and contracts
- Ensuring books and records compliance