Governance Committee Framework for NBFCs
This RBI-aligned Governance Committee Framework, curated by A2I Legal, provides a structured and implementation-ready overview of mandatory and best-practice committees for Base Layer and Middle Layer NBFCs. It maps board-level and executive-level governance mechanisms covering risk management, audit, IT, consumer protection, fraud monitoring, ethics, and regulatory compliance, helping NBFCs strengthen oversight, enhance stakeholder confidence, and achieve sustainable, regulator-focused governance.
Delhi High Court Directions on Credit Card Disputes | RBI Mandates Enhanced Grievance Redressal Disclosure on Websites
Following a landmark Delhi High Court ruling on consumer protection, the RBI has mandated banks and NBFCs to strengthen grievance redressal transparency. Regulated Entities must now display a clear, customer-friendly grievance escalation flowchart on their websites and confirm compliance via the RBI DAKSH portal by 31 March 2026, failing which regulatory action may follow.
Stock Broker Licensing & SEBI Registration in India
Stock broker licensing in India is a mandatory SEBI-regulated process that authorizes individuals or entities to trade securities on recognized stock exchanges. It ensures investor protection, market transparency, regulatory compliance, and orderly functioning of the capital markets through strict eligibility, net-worth, infrastructure, and conduct requirements.
SEBI Policy Framework & Regulatory Oversight in India
The SEBI Policy Framework provides a comprehensive regulatory structure governing India’s securities market through disclosure-based regulation, risk-based supervision, and strong enforcement mechanisms. Anchored in the SEBI Act, 1992, it safeguards investor interests, ensures market transparency, prevents fraud and insider trading, and promotes orderly capital market development through continuous regulatory oversight and periodic reforms.
Private Equity Investment in India: A Comprehensive Guide
Private equity investment involves deploying capital into privately held companies with strong growth or turnaround potential, offering higher long-term returns compared to traditional investments. In India, private equity plays a vital role in funding innovation, business expansion, restructuring, and IPO readiness, primarily attracting institutional investors and high-net-worth individuals willing to commit large capital for extended periods.
SEBI Portfolio Manager Registration in India: Complete Guide to PMS Licensing
Portfolio Management Services (PMS) providers in India must obtain mandatory registration from the Securities and Exchange Board of India (SEBI) under the SEBI (Portfolio Managers) Regulations, 2020, to legally manage securities portfolios on a discretionary or non-discretionary basis for high-net-worth clients, ensuring investor protection through stringent financial, operational, and compliance standards. A portfolio manager acts […]
SEBI Merchant Banker License in India: Registration, Eligibility, Compliance & Strategic Importance
Introduction: The Gatekeepers of Capital Markets In the dynamic architecture of Indian capital markets, merchant bankers play a pivotal role. They act as trusted intermediaries between companies seeking capital and investors seeking opportunities. From managing public issues and private placements to advising on mergers, acquisitions, and corporate restructuring, merchant bankers are the strategic architects behind […]
Legal Framework for AIF Registration in India under SEBI Regulations
AIF Registration is a mandatory regulatory requirement under the SEBI (Alternative Investment Funds) Regulations, 2012, for entities seeking to pool private capital and invest in alternative asset classes in India. It provides legal recognition to the fund, defines its investment category, and ensures ongoing regulatory oversight, transparency, and investor protection. Proper AIF registration enables lawful fund operations, strengthens investor confidence, and ensures compliance with SEBI’s governance and reporting framework.
AIF Management in India: SEBI Rules, Compliance & Governance
AIF Management involves the structuring, registration, operation, and ongoing compliance of Alternative Investment Funds under the SEBI (Alternative Investment Funds) Regulations, 2012. It encompasses fund governance, investment management, risk control, regulatory filings, and investor reporting to ensure transparency, regulatory compliance, and value creation. Effective AIF management is critical for protecting investor interests, mitigating legal and regulatory risks, and ensuring sustainable performance in India’s evolving alternative investment landscape.