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Industry-Specific Regulatory Compliance, including applicable SEBI, RBI and NBFC requirements

Regulated activities require a precise applicability review.

  • Scope and assessment
  • Evidence and requirements
  • Preparation and coordination
  • Completion and follow-up
  • Required Documents
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Industry-Specific Regulatory Compliance, including applicable SEBI, RBI and NBFC requirementsCorporate Advisory and Governance

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About Industry-Specific Regulatory Compliance, including applicable SEBI, RBI and NBFC requirements

Regulated activities require a precise applicability review. SEBI, RBI and NBFC requirements are not interchangeable, and incorporating a company does not authorise a regulated financial service. Assistance begins by identifying the actual activity and required permissions.

What you get

Defined review scope — Focus the work on the identified decision or obligation.
Documented findings — Record evidence, assumptions and unresolved questions.
Practical next steps — Identify responsibilities and the agreed follow-up work.

Who this is for

  • Describe the regulated or proposed business activity.
  • Identify existing licences and the legal entity involved.
  • Review capital, ownership, management and reporting conditions with the appropriate professional.

Documents required

We send this as a single written checklist so you are not chased for documents one at a time.

1Company records — Certificate of incorporation, current memorandum and articles, PAN, director particulars, shareholding records and relevant earlier MCA filings.
2Regulatory profile — Licences, approval conditions, business plan, ownership chain and regulator correspondence.
3Operating and control records — Capital and financial information, policies, reporting history and compliance-responsibility records.

After the filing

What stays your responsibility once this is done.

  • Do not begin a regulated activity until the required permissions and conditions are satisfied.
  • Retain the final advice, evidence and decision records.
  • Review additional professional or filing engagements before implementation.

How the process works

  1. 1

    Scope and assessment

    Map the activity to the relevant regulator and framework.

  2. 2

    Evidence and requirements

    Identify authorisation and ongoing compliance conditions.

  3. 3

    Preparation and coordination

    Prepare a gap and document checklist with qualified specialist involvement.

  4. 4

    Completion and follow-up

    Coordinate the agreed application or reporting work and record outstanding conditions.

Frequently asked questions

No. Applicable RBI authorisation and conditions require separate assessment.

Official sources

What this page is based on. Rules change — these are the authorities to check against.

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