Sampat Mehta > Services > Regulatory Compliance
REGULATORY COMPLIANCE SERVICES
FEMA
In-bound investments ie non-debt investment rules are notified by Ministry of Finance and regulated by the Reserve Bank of India under provisions of FEMA while outbound investments and activities relating to non-residents are regulated under various provisions/notifications of FEMA. We advise and assist businesses for various regulations and clearances and offer services such as:
Consultation
We advise our clients towards the implications of FEMA in any transaction, structure, inbound investments, disinvestments, overseas direct investments, external commercial borrowings and remittances outside India by Residents and Non-Residents.
Compliance in filing of annual returns
We assist our clients in filing of returns and reviewing records and other documents.
Filing of Forms:
We help businesses in filing of Form FC-GPR and Form FC-TRS including return of Foreign Liabilities and Assets. These forms are required to be filed while creating interest of non-resident in India as well as transfer thereof.
Valuation of shares
We help clients with valuation of shares required at the time of investment / disinvestment.
AIF
AIF is regulated entities by Securities & Exchange Board of India (SEBI). Our Service areas are:
Registration with SEBI
With our pre-eminent knowledge about the eligibility criteria, necessary documentation and other regulations, we help our clients expedite the process of registration with SEBI for AIF.
Client due diligence / AML checking
Our in-depth, credible information for third-party due diligence and AML checks assist businesses in minimizing reputation damage and similar risks.
Assistance in registrations
We consult AIF for ease in registering towards CKYC, CERSAI and FIU. Our strategic knowledge and expertise helps us avoid any discrepancies in registration applications.
Filing returns
We assist businesses in filing periodic returns and statements with the regulator.
Issue of annual certificates to the investors
We assist our clients in issuing annual certificate to investors as an evidence of their earning of income during the year. This help investors to file their income tax returns effortlessly
Audits
Audit of Placement Memorandum as well as the audit of Portfolios for Portfolio Management Service Provider.
NBFC
Non-Banking Finance Companies are regulated by the Reserve Bank of India. Our practice area includes:
Advising on obtaining Certificate of Registration
We assist prospective NBFCs in drafting and submitting the required documents and obtain Certificates of Registration with RBI.
Advice on framing policies
We assist them in revising, evaluating and formulating operational policies based on the work practice of the organization. Our definition of ideals and inherited domain expertise helps us in identifying the issues and adopting policies for the same.
Filing periodical returns
We advise NBFCs in filing periodical returns and statements with the RBI. We also assist them in preparation and filing of submissions before RBI for prudential norms compliance and AML checks.
Annual Certification
We help NBFCs obtain an annual certificate, duly certified by statutory auditors which confirms their engagement in the NBFI.
STOCK EXCHANGE AUDIT
Under SEBI regulations every stock broker is required to undergo audit and submit auditors report on trades / financial transactions undertaken for the clients, margin requirements, internet trading, other dealing with clients, compliance to trading guidelines issued by the stock exchanges.
