The Securities and Exchange Board of India (SEBI)

SEBI regulates the securities markets in India with the objective of protecting the interests of investors and promoting the development of the securities markets.

What types of firms need to be regulated by SEBI?

SEBI regulates capital market intermediaries such as Merchant Bankers, Investment Advisors, Research Analysts, Stockbrokers and also other entities, which include Foreign Portfolio Investors, Alternative Investment Funds, Mutual Funds, Credit Rating Agencies, Custodians, Real Estate Investment Trusts, and Infrastructure Investment Trusts.

What is the process for becoming regulated by SEBI?

Merchant Banks, Investment Advisors and other entities would be required to submit an application to SEBI, along with the required supporting documents and declarations. SEBI may seek additional information or clarification, which may be followed by a meeting with the concerned officers. If the documentation is to the satisfaction of SEBI, registration would be granted by SEBI.

Foreign Portfolio Investors would need to engage a Designated Depository Participant (DDP), through whom the application would be submitted to SEBI.

How long does the process take?

The process for registration as an intermediary with SEBI would take approximately two to three months, subject to the quality of the application, degree of risk involved, the background of promoters and key management personnel.

How can CCL help?

CCL will partner with your Firm, guiding you through the whole application process. We will oversee every element of the application and provide you with the guidance necessary to meet SEBI’s requirements. We can also provide ongoing compliance support once you are authorised by SEBI.

We have a dedicated team of experienced compliance consultants who can provide expert assurance and peace of mind. Get in touch to see how we can help your Firm.