Regulatory Policy & Compliance

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Regulatory Policy & Compliance

Regulation encompasses all aspects of a commercial business. Its broad application means businesses had to ensure compliance and evaluate regulatory risk from the outset with a continuing obligation to ensure there are appropriate structures and governance in place and pro-active compliance.

We understand that dealing with regulators requires a different approach to that adopted in general. There are often reputation issues that had to be addressed. We represent our clients and offer strategic advice to ensure that such parallel objectives are dealt with alongside the main regulatory actions. We navigate our clients through complex legislative maze and ensure compliance with the ever evolving legal system of India. We are also experienced in dealing with the related civil, criminal and employment claims that can arise from breach of regulatory provisions.

Our experience in this field includes: (i) Advising on all day-to-day compliance issues, including regulatory due diligence and the implementation of appropriate structures and controls;
(ii) Providing advice as to whether authorization is needed for certain activities, including assisting with the presentation of applications to the appropriate regulators;
(iii) Offering pragmatic advice on matters arising out of investigations of possible breaches of the Company law’s principles and rules;
(iv) Responding to information requests and cooperating in open dialogue with the regulator;
(v) Interview advice and representation;
(vi) Assisting with devising and implementing remediation programmes;
(vii) Providing practical advice as to the enforcement process and advising as to possible sanctions;
(viii) Attending to settlement negotiations.
ECA through its various practice areas works closely with various regulators on behalf of the clients for varying transactions and issues. ECA assist in liasioning and obtaining approvals with Securities & Exchange Board of India (SEBI), Reserve Bank of India (RBI), Electricity Regulatory Commission, Pension Fund Regulatory Development Authority (PFRDA), FSSAI, Telecom Regulatory Authority of India (TRAI), Airport Economic Regulatory Authority (AERA), Petroleum & Natural Gas Regulatory Board (PNGRB), Department of Telecommunications (DOT), Competition Commission of India (CCI), Competition Appellate Tribunal, Appellate Tribunal for Electricity (APTEL), Telecom Disputes Settlement & Appellate Tribunal (TDSAT) etc.

If you are seeking experienced legal representation in connection with liasioning or approval from regulatory authority, legal audit, regulatory & legal compliance, day to day compliance management, or other similar transaction, please contact us or by telephone at +91 8448824659.