Regulatory, Compliance & Governance Advisory

In the contemporary regulatory environment, compliance failures rarely arise from lack of awareness of the law. They arise from weak governance architecture, fragmented advisory, poor internal controls and reactive decision-making. Regulators today increasingly fix responsibility on boards of directors, key managerial personnel and promoters, exposing them to personal, civil and in certain cases criminal liability.

Unified’s Regulatory, Compliance & Governance Advisory practice is designed to move clients away from form-driven compliance towards governance-led risk management. We assist businesses, boards and management teams in building robust, auditable and scalable compliance frameworks that align statutory obligations with commercial realities.

Our advisory focus is not limited to meeting filing requirements. It is directed towards protecting decision-makers, preserving reputational capital and ensuring regulatory defensibility during audits, inspections, investigations and enforcement actions.

Scope of Advisory

We provide comprehensive advisory and execution oversight under the Companies Act, 2013, allied rules and corporate laws, ensuring both technical accuracy and practical implementation.

Coverage includes:

  • Advisory on Companies Act, 2013 and allied legislation
  • Corporate compliance structuring and health checks
  • Board and shareholder meeting processes
  • Drafting and vetting of board resolutions and statutory documentation
  • Statutory filings, registers and records maintenance
  • Secretarial audits and compliance gap assessments
  • Advisory on compounding, condonation and regularisation of defaults

Governance is a board-level responsibility with increasing regulatory and fiduciary exposure. Unified advises boards and senior management on governance frameworks aligned with statutory requirements and best practices.

Coverage includes:

  • Board governance frameworks and charters
  • Duties, responsibilities and liabilities of directors and KMPs
  • Advisory to independent directors and board committees
  • Governance manuals, codes and SOPs
  • Enterprise-level compliance risk mapping
  • Audit and inspection preparedness for boards

Foreign exchange regulations remain among the most technical and enforcement-sensitive areas of Indian law. Unified provides specialised advisory on FEMA and RBI regulations for both Indian entities and foreign-owned subsidiaries.

Coverage includes:

  • FEMA advisory for inbound and outbound investments
  • RBI reporting and regulatory filings
  • Downstream investment and ODI compliance
  • Pricing guidelines and sectoral cap advisory
  • Liaison with authorised dealer banks
  • Regularisation and compounding of FEMA contraventions

(This practice works in close coordination with the India Entry & Inbound Investment Advisory vertical.)

Entities operating in regulated sectors face enhanced disclosure, reporting and inspection obligations. Unified provides sector-specific compliance and governance advisory tailored to regulated entities.

Coverage includes:

  • SEBI compliance advisory for listed and unlisted entities
  • Corporate governance and disclosure advisory
  • NBFC regulatory compliance and reporting
  • Drafting and review of regulatory policies
  • Inspection preparedness and response advisory
  • Support in responding to show-cause notices and enforcement actions

    • Labour and employment laws pose significant operational and reputational risk, particularly for growing businesses and foreign-owned entities.

    Coverage includes:

    • Labour law compliance advisory
    • Shops and Establishments compliance
    • PF, ESIC and social security compliance frameworks
    • Employment documentation and HR policies
    • POSH advisory, policy drafting and compliance
  • Labour inspections and regulatory response support

    • When regulatory issues escalate into audits, inspections or investigations, early and structured intervention is critical.

    Coverage includes:

    • Advisory on regulatory notices and inspections
    • Compliance remediation and corrective action planning
    • Compounding, settlement and regularisation advisory
    • Representation strategy before regulators and authorities
    • Coordination with litigation counsel where required
    Who This Practice Serves
    • Listed and unlisted companies
    • Promoter-led business groups
    • NBFCs and regulated entities
    • Foreign-owned Indian subsidiaries
    • Boards of directors and senior management
    • Public sector and government-linked entities
    How This Practice Adds Value
    • Reduces personal exposure of directors and KMPs
    • Improves audit and inspection readiness
    • Prevents escalation of regulatory issues
    • Aligns governance with investor and regulator expectations
    • Ensures continuity of operations during regulatory action
    		 
         
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