Consulting
Consulting
Our consulting services provide expert regulatory and compliance advisory to financial institutions across the capital markets ecosystem. Backed by deep domain expertise and experience with regulators, exchanges and depositories, we support clients across licensing, inspections, compliance reviews, risk management and complex regulatory transactions. Our approach combines legal rigor with practical execution to help organizations navigate regulatory requirements, strengthen governance and operate with confidence.
Setting up Broking, DP, PMS, AIF, RA, IA
We support financial institutions in establishing and structuring regulated businesses by guiding them through licensing, approvals and regulatory alignment across capital markets and jurisdictions globally.
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Start your Stock Broking, Depository Participants, PMS, AIFs, Research Analysts and Investment Advisors business with expert consultancy from SecMark.
End-to-end regulatory advisory from application, business plans, policies & procedure, technology implementation, audits and certification and operational readiness.
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Inspection Assistance (SEBI, Exchange, DPs)
We assist organizations in preparing for and managing regulatory and exchange inspections through structured documentation, expert guidance and coordinated engagement with relevant regulators and exchanges.
Support for inspections conducted by the Securities and Exchange Board of India, Stock Exchanges, Commodity Exchanges, Depositories etc.
Inspection preparedness, observation handling and regulatory responses.
Compliance, Risk and Process Reviews
We assess compliance frameworks and risk management processes to identify gaps, enhance controls and strengthen adherence to applicable regulatory requirements across operations and governance structures.
Review of compliance processes to ensure alignment with all applicable regulatory requirements and supervisory standards.
Strategic recommendations to strengthen risk controls and enhance governance practices across regulated operations.
Consultancy for Merchant Bankers and Listed Companies
We deliver end-to-end regulatory and compliance support for merchant bankers and listed entities, including drafting DRHP, due diligence, compliance support, co-ordination and all stakeholders and periodical compliance filings.
Strategic advisory on SEBI regulations, public issues, open offers and post-listing compliances.
End-to-end support for filings, disclosures and regulatory coordination across transactions.
Advising on SEBI, SAT, IGRC & Arbitration Matters
We offer comprehensive advisory and litigation support across all regulatory and exchange forums, including Exchange Committees, SEBI proceedings, SAT appeals and matters before the Supreme Court. Our strong track record reflects our ability to successfully steer clients through complex and high-stakes legal challenges.
Our services begin at the earliest stages, including the commencement of investigations and responses to initial regulatory queries, ensuring accuracy and a strong foundation from the outset.
As litigation progresses to advanced stages like SAT and Supreme Court, SecMark’s team leverages its legal expertise and astute business acumen to navigate complex challenges and steer clients through difficult situations in a timely manner.
