Compliance Services

Navigating Regulatory Complexities with Expertise

Navigating complex corporate compliance is a major challenge. Ocean Finvest solves this by partnering with legal and regulatory experts to provide proactive guidance and meticulous management of your compliance needs. This allows your business to operate with confidence, mitigating risk and protecting your reputation.

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Overview

Investment Advisory: Crafting Your Path to Financial Prosperity

At Ocean Finvest, we believe effective investment advisory is about designing a personalized strategy that aligns with your unique financial goals and risk tolerance. Our expert services help you navigate complex markets, identify optimal opportunities, and build a robust portfolio that grows with you. We ensure your investments are continuously optimized for your financial future.

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Compliances
Corporate Filings
SEBI & Capital Markets
RBI & Financial Sector
Industry & Audits

Our Approach to Compliance: Your Trusted Regulatory Partner

Our approach, in collaboration with expert partners, delivers bespoke solutions tailored to your unique corporate compliance needs.

1

Assessment

We analyze your business to identify regulatory obligations.

2

Connections

We link you with our expert partners to create a custom compliance framework.

3

Reporting

We establish monitoring systems to ensure all filings and reports are accurate and on time.

4

Risk Management

We provide guidance to help you manage risks and avoid penalties

5

Oversight

We offer continuous, hands-on oversight to ensure you stay compliant.

Solutions for Corporate Governance and Regulatory Adherence

A. Corporate Filings & Secretarial Services

Ensuring Regulatory Harmony

  • ROC Filings & Board Resolutions: We provide strategic guidance for all your Registrar of Companies (ROC) filings, coordinating with our partners who handle the preparation and submission of documents, including board resolutions.
  • Maintenance of Statutory Records: We assist in managing and maintaining all mandatory statutory registers and records as per corporate law, ensuring your company remains compliant.
  • Secretarial Audit & Compliance Management: We facilitate comprehensive secretarial audits through our expert network to identify any compliance gaps and ensure all legal requirements are met.

Solutions for Smart Investment Growth

A. Personalized Portfolio Management: Tailored to Your Ambitions

  • Risk-Return Alignment: Constructing portfolios that perfectly match your individual risk tolerance and financial objectives, aiming for optimal growth.
  • Diversified Asset Allocation: Building resilient portfolios across various asset classes to spread risk and capture diverse market opportunities.
  • Strategic Product Selection: Guiding you through appropriate investment vehicles, including direct equities, bonds, mutual funds, and specialized products like AIFs and PMS.

Build a smarter portfolio designed just for you.

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B. SEBI & Capital Markets Compliance

Navigating Public Market Regulations

  • Listing Regulations & Disclosures: We guide listed companies through the complexities of SEBI (LODR) Regulations, with our partners managing timely and accurate disclosures to stock exchanges.
  • Insider Trading Regulations (PIT): We help your company implement robust policies and systems to comply with SEBI's Prohibition of Insider Trading Regulations, leveraging our expert network.
  • Takeover Code & Due Diligence: We advise on the intricacies of the SEBI Takeover Code and facilitate due diligence for corporate transactions, supported by our partners.
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C. RBI & Financial Sector Compliance

Adhering to Banking Norms

  • NBFC Registration & Compliance: We assist with the complete registration process for Non-Banking Financial Companies (NBFCs), with our partners managing ongoing reporting and compliance with RBI guidelines.
  • Foreign Exchange Management Act (FEMA): We provide expertise in managing FEMA compliance for cross-border transactions, leveraging our network to ensure all regulations are met.
  • KYC & Anti-Money Laundering (AML): We help in implementing and auditing your Know Your Customer (KYC) and Anti-Money Laundering (AML) policies to ensure adherence to all regulatory requirements.

D. Industry-Specific Compliance & Audits

Tailored Solutions

  • Sectoral Regulations: We ensure adherence to specific regulations within your industry (e.g., healthcare, real estate, IT), coordinating with our expert partners.
  • Due Diligence & Compliance Audits: We facilitate thorough due diligence and compliance audits through our network for mergers, acquisitions, and other strategic decisions.

 

D. Investment Performance & Reporting: Clear Insights

  • Regular Performance Reviews: Providing detailed and transparent reports on your portfolio's performance, benchmarking it against relevant indices.
  • Market Insights & Outlook: Offering clear explanations of market trends and economic outlooks that impact your investments.
  • Tax-Efficient Investment Guidance: Integrating tax considerations into your investment strategy to maximize your post-tax returns.

Gain clarity on your investment growth.