Regulatory & Securities



SUPERB ASSOCIATES is known for its service–oriented approach at the highest levels. This is evident from the amount of oversight that a matter gets even from our Senior Partners, thus benefiting the client with their years of varied experience. The Firm’s approach in regulatory matters facilitates a unique assignment–based strategy, blending the practical, legal and commercial aspects of a matter.

Our clients include several of the world’s largest financial services firms, domestic/global investment banks and foreign hedge funds. We have also represented clients before the Securities & Exchange Board of India (SEBI), the Securities Appellate Tribunal (SAT) and the Serious Frauds Office. We regularly dialogue with the securities regulators to keep abreast of complex Indian securities laws. Additionally, we advise financial intermediaries on their financial products offerings, including the listing and trading of products.


Our Regulatory practice has access to senior resources with expertise in different areas of regulatory work, which enables 360 degree risk assessments and helps the client in determining the ideal strategy and approach. The team is well versed in handling complicated facts and areas of law across different practice areas, and is able to navigate through the various systemic challenges and hurdles in the Indian regulatory space.

Our work includes advice on proceedings and applications before regulators, including consent proceedings before SEBI, matters relating to the classification, declassification and liabilities of promoters, assisting with investments by foreign institutional investors and VC firms, corporate governance issues and listing regulations, creating compliance manuals and setting up KYC procedures and anti–money laundering mechanisms.

The Practice

With India’s push towards increased transparency in corporate affairs and stricter compliance requirements for businesses across legislations and sectors, Superb Associates & Co’s award- winning Regulatory Practice helps businesses navigate the changing legislative landscape and the regulatory framework. We have advised businesses on all forms of regulatory aspects including licensing requirements, corporate compliances, foreign investments, securities regulations, overseas direct investments, cross-border mergers, restructuring and liquidation transactions.

The Execution

We frequently interface with regulators and law enforcement authorities and provide representation and legal advisory services on matters such as tariff determination, licensing, performance regulation and adjudicatory proceedings. We also assist with family office work including on various tax efficient inbound / outbound investment structures for the said purposes and obtaining clarification / approvals from the authorities.

We routinely represent clients before diverse regulators including the SEBI, RBI, Directorate of Enforcement, judicial fora including the Electricity Regulatory Commissions, the Petroleum and Natural Gas Regulatory Board, the Telecom Regulatory Authority of India, the Airports Economic Regulatory Authority, the Tariff Authority for Major Ports, the Electricity and Telecom regulators and appellate bodies, the Department of Industrial Policy and Promotion, Department of Non-Banking Supervision and Regulation, Ministries of Civil Aviation, Defence, Finance, Health and Family Welfare, Commerce, Corporate Affairs, Power and Environment and Forests, amongst others.

The Superb Associates Advantage

We are the preferred advisor to clients because of our intimate knowledge of the local regulations and close working relationships with regulatory bodies built over years. We guide and strategise with our clients to fulfill necessary regulatory requirements in accordance with their business objectives and to gain a better understanding of doing business with government entities and managing associated risks.

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