A Simple Guide to Capital Markets Law and Advisory

Capital markets law plays a crucial role in ensuring transparent, compliant, and investor-friendly financial markets. Companies, financial institutions, promoters, and investors require expert legal advisory to navigate SEBI regulations, IPO processes, securities laws, fundraising, mergers, and corporate governance.

Our firm provides comprehensive capital markets legal services in Mumbai, supporting clients across equity and debt markets, regulatory compliance, securities transactions, and investor-related disputes.

Expert Capital Markets Legal Services in Mumbai

We assist clients with IPO advisory, private placements, securities compliance, corporate governance, fundraising transactions, secondary market dealings, and regulatory litigation. Our legal team ensures that capital market activities remain legally compliant, commercially viable, and risk-mitigated.

Capital Markets Legal Advisory

Initial Public Offerings (IPO) Advisory

End-to-end legal support for IPO structuring, regulatory filings, prospectus documentation, SEBI approvals, and stock exchange compliance.

Private Placements & Fund Raising

Advisory on equity funding, debt financing, venture capital investments, private placements, and regulatory disclosures.

Securities Regulations & SEBI Compliance

Guidance on SEBI regulations, insider trading laws, listing obligations, disclosure requirements, and regulatory reporting.

Stock Exchange Listings & Compliance

Legal support for BSE and NSE listings, continuous disclosure compliance, corporate announcements, and governance norms.

Takeovers, Mergers & Acquisitions (M&A) Advisory

Advisory on SEBI takeover code, open offers, mergers, acquisitions, corporate restructuring, and regulatory approvals.

Debt & Equity Financing Agreements

Drafting and negotiating share subscription agreements, debenture agreements, bond documentation, and investment contracts.

Corporate Governance Advisory

Support for board governance, shareholder rights, compliance frameworks, ESG considerations, and regulatory best practices.

Secondary Market Transactions

Legal advisory for bulk deals, block trades, insider trading compliance, and secondary market regulatory matters.

Investor Dispute Resolution & Litigation

Representation in shareholder disputes, regulatory enforcement actions, securities litigation, and arbitration proceedings.

Why Choose Our Capital Markets Law Firm in Mumbai

• Deep expertise in SEBI and securities laws
• Experience in IPOs, public offerings, and fundraising
• Strong regulatory and compliance advisory capabilities
• Commercially practical and risk-focused legal solutions
• Representation before regulators, exchanges, and courts
• Trusted by corporates, financial institutions, and investors

Our Approach to Capital Markets Legal Matters

Legal Due Diligence & Risk Assessment

Conducting financial and legal due diligence, compliance audits, regulatory risk analysis, and transactional assessments.

Regulatory Compliance Advisory

Ensuring adherence to SEBI regulations, listing requirements, disclosure norms, insider trading policies, and reporting obligations.

Drafting & Negotiation of Agreements

Preparing and negotiating investment agreements, underwriting contracts, shareholder agreements, and securities documentation.

Dispute Resolution & Litigation Support

Handling SEBI investigations, enforcement proceedings, investor claims, arbitration, and securities litigation.

Clients We Represent

Public & Private Companies

Legal advisory on public listings, fundraising, compliance, and investor relations.

Banks & Financial Institutions

Support for capital market transactions, structured finance, regulatory compliance, and enforcement matters.

Investment Funds & Asset Managers

Assisting with fund structuring, securities transactions, regulatory compliance, and portfolio investments.

Promoters, Directors & Investors

Representation in governance matters, shareholder disputes, regulatory investigations, and compliance advisory.

Regulatory Authorities & Courts We Appear Before

Securities and Exchange Board of India (SEBI)

Bombay Stock Exchange (BSE) & National Stock Exchange (NSE)

Bombay High Court

City Civil & District Courts

Arbitration Tribunals & Appellate Authorities

Experience in Capital Markets Legal Matters

Our legal team has extensive experience handling IPO transactions, SEBI compliance matters, takeover regulations, investor disputes, fundraising advisory, and securities litigation. We focus on delivering strategic, compliant, and commercially sound legal solutions for market participants.

Frequently Asked Questions – Capital Markets Law

What is involved in SEBI compliance for companies?

SEBI compliance includes disclosures, insider trading regulations, listing obligations, corporate governance norms, and periodic reporting.

How does an IPO process work legally?

The IPO process involves due diligence, drafting offer documents, regulatory filings, SEBI approval, stock exchange listing, and post-listing compliance.

Can investors dispute corporate governance violations?

Yes, investors can raise disputes through SEBI complaints, civil suits, arbitration, or shareholder litigation.

What documents are needed for fund raising?

Common documents include term sheets, share subscription agreements, disclosure documents, financial statements, and regulatory filings.

When should a capital markets lawyer be consulted?

A lawyer should be consulted during IPO planning, fundraising, regulatory compliance, mergers, acquisitions, investor disputes, or SEBI investigations.

---

Consult a Capital Markets Lawyer in Mumbai

If you are planning a public issue, private placement, securities transaction, or need regulatory advisory, expert legal guidance can help ensure compliance and protect stakeholder interests.

Contact us today to discuss your capital markets legal requirements.

---

Contact Details

For consultations, legal advisory, or regulatory assistance, reach out to our Mumbai-based capital markets legal team.