“Compliance is not a burden; it’s the foundation of trust and sustainability. Resolving past mistakes is the first step toward a stronger future.” – BlueRock Advisors LLP
In today’s complex regulatory environment, businesses can occasionally face unintentional non-compliance with corporate laws, securities regulations, or exchange guidelines. At BlueRock Advisors LLP, we provide Compounding & Settlement Advisory Services that help businesses mitigate penalties, resolve issues efficiently, and ensure a seamless path to regulatory compliance.
We assist clients in compounding offenses under the Companies Act, SEBI regulations, FEMA, and stock exchange rules, ensuring a structured approach to resolving violations and minimizing the impact on your business.
📌 Our Compounding & Settlement Services
🔹 Compounding of Offenses under the Companies Act, 2013
✔ Filing compounding applications with the Registrar of Companies (ROC) and National Company Law Tribunal (NCLT).
✔ Representation before regulatory authorities to secure approval and minimize penalties.
✔ Ensuring timely resolution of statutory non-compliance and potential reductions in fines.
🔹 SEBI Settlement & Consent Proceedings
✔ Settlement of violations under SEBI (Settlement Proceedings) Regulations, 2018.
✔ Filing settlement applications, negotiating penalty reductions, and ensuring compliance.
✔ Representation before SEBI and Securities Appellate Tribunal (SAT) for a favorable resolution.
🔹 RBI & FEMA Compounding Advisory
✔ Assistance with compounding violations under the Foreign Exchange Management Act (FEMA).
✔ Liaison with RBI for penalty reductions concerning foreign investment and forex violations.
✔ Guidance on compliance with foreign exchange regulations to prevent future violations.
🔹 Stock Exchange & SEBI Penalty Waivers
✔ Application for penalty waivers imposed by stock exchanges for non-compliance with SEBI (LODR) Regulations.
✔ Advisory services for settlement of fines and penalties under SEBI guidelines.
✔ Representation before stock exchanges and regulators to resolve penalties and fines effectively.
🔹 Legal Representation & Advisory
✔ Drafting & submission of compounding applications for various regulatory violations.
✔ Strategic advisory for risk mitigation, compliance rectification, and future prevention of penalties.
✔ Representation before authorities like SEBI, RBI, MCA, NCLT, and stock exchanges to facilitate dispute resolution.
Why Choose BlueRock Advisors LLP?
✅ Expert Legal & Compliance Advisory – Our team of Company Secretaries, Chartered Accountants, and Legal Experts ensures a seamless compounding and settlement process, providing you with the best solutions.
✅ Regulatory Liaison & Representation – We handle all interactions with SEBI, RBI, MCA, ROC, NCLT, and stock exchanges, saving you time and ensuring compliance with minimum hassle.
✅ Timely Resolution – We work swiftly to resolve your non-compliance issues, helping to avoid future penalties and risks.
“Regulatory challenges may slow you down, but they don’t have to stop you. With the right guidance, every setback can turn into a comeback.”
📞 Facing compliance challenges? Contact us at +91-8595000475 or email info@bluerockadvisors.in for expert assistance.