Home > Expertise > Practice Areas > Regulatory & Securities
OUR
PRACTICE
AZB is known for its service–oriented approach at the highest levels. This is evident from the amount of oversight that a matter gets even from our Senior Partners, thus benefiting the client with their years of varied experience. The Firm’s approach in regulatory matters facilitates a unique assignment–based strategy, blending the practical, legal and commercial aspects of a matter.
Our clients include several of the world’s largest financial services firms, domestic/global investment banks and foreign hedge funds. We have also represented clients before the Securities & Exchange Board of India (SEBI), the Securities Appellate Tribunal (SAT) and the Serious Frauds Office. We regularly dialogue with the securities regulators to keep abreast of complex Indian securities laws. Additionally, we advise financial intermediaries on their financial products offerings, including the listing and trading of products.
GET IN TOUCH
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Ajay Bahl
Co–Founder & Managing Partner
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Zia J. Mody
Co-Founder & Managing Partner
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Rajendra Barot
Senior Partner
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Ashwath Rau
Senior Partner
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Vijayendra Pratap Singh
Senior Partner
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Rushabh Maniar
Senior Partner
WHAT
WE DO
Our Regulatory practice has access to senior resources with expertise in different areas of regulatory work, which enables 360 degree risk assessments and helps the client in determining the ideal strategy and approach. The team is well versed in handling complicated facts and areas of law across different practice areas, and is able to navigate through the various systemic challenges and hurdles in the Indian regulatory space.
Our work includes advice on proceedings and applications before regulators, including consent proceedings before SEBI, matters relating to the classification, declassification and liabilities of promoters, assisting with investments by foreign institutional investors and VC firms, corporate governance issues and listing regulations, creating compliance manuals and setting up KYC procedures and anti–money laundering mechanisms.
RECENT WORK HIGHLIGHTS
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On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
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On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
-
On its proceedings before SAT relating to Arcelor’s successful declassification as a promoter of Uttam Galva Steels
-
On the merger of BNP Paribas Mutual Fund with Bank of Baroda Mutual Fund
-
In relation to its acquisition in CARE Ratings, by way of a bid process
-
On the USD 400 million sale of its investment banking and securities broking business to Axis Bank
-
On its acquisitions in Quantum Advisors and IIFL Holdings
-
On its settlement proceedings relating to the Foreign Portfolio Investor funds it manages
-
On (i) its transfer of the management, administration and trusteeship of various group companies to Reliance Capital Asset Management and Reliance Capital Trustee Company (ii) The sale of its stake in Kotak Securities and Kotak Mahindra Capital Company
-
On its settlement of certain proceedings under the SEBI (Mutual Funds) Regulations, 1996
-
On its purchase of Religare Asset Management Company and Religare Trustee Company from Religare Securities
-
On its settlement of a SEBI initiated investigation/regulatory proceeding, pertaining to its investment in Amtek Auto
-
On the sale of its Indian entities to Nomura Holdings
-
On the Indian law aspects of its acquisition of ING Bank’s Asia–Pacific securities broking business
-
On its acquisition in Mahindra Asset Management Company and Mahindra Trustee Company
-
On proceedings initiated by SEBI regarding allegations of preferential access to its co–location services and related infrastructure and other SEBI violations
-
With respect to its SEBI and SAT litigation
-
With respect to its acquisition in Computer Age Management Services
