Regstreet has a niche and robust practice in all aspects of financial regulation. We assist our clients in diverse aspects and represent our clients before different fora. Our major practice areas include:
Glimpses of our
- Advised and obtained a favourable order in one of the historic matters relating to a premier healthcare & financial services company and its promoters against a penalty order in a matter of alleged violation of SEBI (Prohibition of Insider Trading) Regulations, 1992 / 2015 and the Code of Conduct.
- Assisting a client in obtaining India’s first registration as Information Utility from IBBI.
- Represented a lender against SEBI Order barring the borrower from the securities market. SAT passed an order in favour of our client by quashing SEBI’s order.
- Assisted corporations and Key persons in multi-jurisdictional regulatory investigations.
- Advised an NBFC in dealing with issues relating to account aggregation business with RBI.
- Represented a large company’s joint venture with a foreign insurer before IRDAI.
- Successfully represented minority shareholders against a MNC with a French parent that was exclusively listed on regional exchanges and decided to go for an exit offer.
- Represented a Depository Participant against an order passed by SEBI.
- Represented clients before SEBI/SAT with respect to a matter relating to avoidance of payment of taxes by manipulating the market.
- Represented the insurance regulator IRDAI against certain insurers in Securities Appellate Tribunal (SAT) where the regulator passed certain directions.
- Represented certain listed companies under investigation for issuance of Global Depository Receipts (GDRs) abroad.
- Represented a client in Settlement Proceedings for settling alleged violations of stock manipulation and securities fraud.
- Represented certain Fund Managers in SEBI inquiries relating to Front Running.
- Represented a foreign Hedge fund in a Takeover compliance.
- Conducted Internal Investigation in a Mutual Fund for pinning liabilities for regulatory laws violations.
- Represented large listed companies in corporate governance issues.
- Advised certain companies for their smooth delisting.
- Successfully represented certain listed companies in getting their names cleared from the list of Suspected Shell Companies.
- Assisted a large corporate in clearing their eligibility to bid under IBC Process, by de-promoterisation from stock exchanges.
- Obtained exemptions for a promoter family trusts from making an open offer under the Takeover Code.
- Advised a Hong Kong based PE Investments on exit from an Indian listed company.
- Advised shareholders seeking Competition Commission, SEBI and Stock Exchange’s intervention in delisting process.
- Advised promoters of listed companies in navigating an open offer.
- Successfully represented a Mutual Fund in obtaining relief from IRDAI in a pledge of insurer.
- Obtained registrations of Mutual Fund, Investment Advisor, Research Analyst, AIF etc.