Driven by excellence, focused on strategies for the longer term.

This is the crux of who we are. It is an articulation of precision in purpose, from the Firm’s beginnings to where we are today. Our collective eye is unerringly trained on tomorrow.

Deep sectoral expertise across services and industries.

Our insistence on strategic advisory exacts an in-depth understanding of and involvement with our clients’ businesses and industries. We engage not just individual businesses, but also contribute to the country’s legal and regulatory frameworks.

Personal commitment supported by experience and grit.

We commit early. We pull together internally for greater support. Every effort is sincere, every individual deeply dedicated to their task, their role, to the Firm.

Our undertakings for long-term impact are an organic extension of our purpose.

They are to employ our deep knowledge of the law beyond the business, the transaction, the deal. To use the opportunities and skills we possess, to reflect on the culture we’re creating. Individually and collectively, these are our efforts to help shape the thinking of our future generations, and arm them with strategies for true, sustainable growth.

Knowledge-sharing is intrinsic to equity and inclusivity.

This is a repository of thought leadership, deep insights and strong viewpoints, legal and other news and events and how they impact the industry and our clients.

Relevance is critical to growth. It necessitates a firm that is dynamic and responsive.

Amplifying intrinsic talent, sharpening skills, expanding knowledge, is vital to leading. It defines every aspect of how our firm functions and transacts. This is how we create new benchmarks and set industry standards.

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Oct 30, 2024

SEBI Restricts Certain Intermediaries from Association with Unregulated Advisors

SEBI, by way of Notification dated August 26, 2024, has restricted stock exchanges, clearing corporations, depositories and certain other intermediaries regulated by SEBI (and their respective agents) from having direct and indirect association with persons who:

i.    provide advice or any recommendation, directly or indirectly, in relation to securities, unless such person is registered with or otherwise permitted by SEBI to provide such advice or recommendation; or

ii.   makes any claim, of returns or performance in relation to securities, unless such person has been permitted by SEBI to make such a claim.

The restriction extends to the following: (i) transaction involving money or money’s worth; (ii) referral of a client; (iii) interaction of information technology systems; and (iv) any other association of a similar nature or character. However, a carve-out is provided for associations through any digital platform (to be specified by SEBI) which have mechanisms to take preventive and curative actions to ensure that the platform is not used for the activities specified in (i) and (ii) above.

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DISCLAIMER

These are the views and opinions of the author(s) and do not necessarily reflect the views of the Firm. This article is intended for general information only and does not constitute legal or other advice and you acknowledge that there is no relationship (implied, legal or fiduciary) between you and the author/AZB. AZB does not claim that the article's content or information is accurate, correct or complete, and disclaims all liability for any loss or damage caused through error or omission.

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