This service covers end-to-end regulatory setup, licensing and operational readiness for financial institutions and intermediaries operating in India’s regulated capital markets and financial services ecosystem. The objective is to enable you to launch, operate and scale regulated businesses with a strong compliance and governance framework from day one.
.svg)
Draft a plan
Define milestones
Prepare timelines
Financial projections
Plan execution
Start implementing!
Form an entity
Obtain regulatory registrations
Procure licenses and approvals
Congratulations!
Evaluate
Acquire
Procure
Implement
Get Going!
Operations
Compliance
Risk Management
Surveillance
Start your business!
SEBI (Stock Brokers) Regulations, 2026 is the primary regulatory framework for Stock Brokers. This is seconded by Bye-laws, Rules, Regulations and Circulars of respective Exchanges / Clearing Corporations.
A Depository Participant acts as the interface between investors and depositories for holding securities in electronic form. Setting up a DP requires strict adherence to depository regulations and operational controls.
A Portfolio Manager advises or directs or undertakes transactions on behalf of the client (whether as a discretionary portfolio manager or otherwise) the management or administration of a portfolio of investments of the client.
SEBI (Alternative Investment Funds) Regulations, 2012 regulates various types of private pool of capital or investment vehicles so as to channelize and regulate the funds where institutions or HNIs can invest.
A Research Analyst provides investment research and recommendations to investors based on market analysis. SEBI regulates Research Analysts under the Research Analyst Regulations to ensure transparency, integrity and compliance.
The SEBI (Investment Advisers) Regulations, 2013 is the primary regulatory framework governing Investment Advisers (IAs) in India. These regulations ensure transparency, accountability and avoidance of conflicts of interest in the investment advice provided to clients.
.svg){kind=icon}
