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All Compliance Services

Compliance Legal Services

We have Expert Team forCompliance & Legal mattershaving about 10years experience in the field of Specialised Broker Compliances, Management, Audit & Inspection, Arbitration& Legal matters.

Team Members:-

CS Pravin Kumar
CS Merit Rank Holder

[B.Sc.(Hons)Math, LL.B.; PG.DBA; ACS]
NCFM; NISM & MCCP Certified

Company Secretary & Legal Professional


Mr. Alok Kumar Pandey
Advocate Supreme Cou
rt of India

Compliance Matters

Annual, Half yearly, Quarterly, Monthly, Weekly & regular compliances of NSE,BSE, MSEI, MCX, NCDEX, NSDL, CDSL etc.;

Annual Filing / submission todifferent Stock Exchanges;

Handling Audit & Inspection of Stock Brokers;

Reply to the Observation in Inspection Report of Stock Exchanges & SEBI;

Internal Audit of Stock Brokers;

Concurrent & Internal Audits of CDSL & NSDL;

Reply to the Observation in Inspection Report of CDSL & NSDL;

Drafting of different Policies for Stock Broking firm along with AML Policies & implementation;

Comply requirements under KYC;

Broker, Sub-broker, AP& branch Inspections.

Arbitration / Legal Matters

Drafting Reply of Investors'grievances/Complaints& Counter Reply;

Drafting Reply, Rejoinder in Arbitration proceedings& filing;

Appearance & Arguments in Arbitration Proceedingsbefore IGRC/IGRP, NSE, BSE, MCX, NCDEX, CDSL, NSDL,SEBI, etc.;

Consulting in Arbitration/Legal matters;

Filing Application u/s 33 (Correction & Interpretation of Award), 34 (Setting aside Arbitral Award), 37 (Appeal) in Arbitration matter at Courts/ Tribunals;

Drafting Legal Notices and Reply to the Legal Notices;

Drafting various Deeds/Agreements;

Drafting Plaint, Written statement, Appeal, Rejoinder for Court Cases;

Handling Legal Cases at Consumer Forum, Distt. Court at Delhi & outside Delhi, Delhi High Court& Supreme Court of India;

Negotiation with investors' &Brokers and settle the matter out of Court.