Financial Regulatory Practice

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Decoding Regulation. Delivering Compliance. Defending Your Interests.

In a fast-evolving regulatory landscape, Siddh Vidya & Associates (SVA) provides trusted legal counsel to help clients navigate the complex web of financial, banking, and capital markets regulations in India. We advise corporates, NBFCs, fintech firms, and financial institutions on staying compliant—while remaining commercially competitive.

Advisory & Representation Services

Regulatory & Compliance Advisory

  • Interpretation of RBI, SEBI, IRDAI, PFRDA, and FEMA guidelines
  • Licensing and registration support for NBFCs, fintech startups, and brokers
  • Ongoing compliance audits, risk assessments, and regulatory health checks
  • Structuring of cross-border investments and offshore transactions

Transactional Compliance

  • Legal support for Mergers and Acquisitions in regulated sectors
  • Structuring of debt and equity financing transactions
  • Capital raising and disclosure requirements under SEBI laws
  • Drafting of financial agreements and investor disclosures

Enforcement, Investigations & Disputes

  • Representation before SEBI, RBI, ED, SFIO, ROC & other financial authorities
  • Defence in show-cause notices, inspection reports, and penalty proceedings
  • Advisory on anti-money laundering (AML) and counter-terror financing (CFT) regulations
  • Drafting and review of compliance responses and regulatory submissions

Who We Advise

  • NBFCs & HFCs – Incorporation, restructuring, and RBI audits
  • Fintech Startups – Licensing, payment systems, and data compliance
  • Banks & Investment Firms – Regulatory risk mitigation and strategic advice
  • Listed & Unlisted Corporates – Insider trading, takeover code, and ESOP policies
  • Family Offices & HNIs – FEMA advice, capital flows, and asset structuring

Looking for Clear, Current Regulatory Advice?

Whether you’re dealing with a compliance review, product launch, or enforcement notice—our financial regulatory team can help you act with clarity and confidence.

📧 sv@siddhvidya.com
 📞 +91-22-2082 1414 | Contact Us