Risk & Compliance
Combining deep regulatory insight with practical execution, our Risk and Compliance practice supports clients across the regulatory lifecycle from framework design and governance advisory to investigations, enforcement actions, and regulatory engagements.
ABOUT TRILEGAL’S RISK AND COMPLIANCE PRACTICE
In an era of heightened regulatory scrutiny and fast-changing risk dynamics, our Risk and Compliance practice helps clients navigate India’s complex financial regulatory landscape. We combine global best practices with deep local expertise to build strong, future-ready risk and compliance frameworks that meet supervisory standards.
We advise clients across the entire lifecycle of their risk and compliance needs. This ranges from the initial design and implementation of ‘audit-ready’ policies and governance structures to providing strategic support during high-stakes regulatory challenges, including inspections, enforcement actions, and internal investigations. Our experience helps us prepare our clients for new regulations and market developments, ensuring they navigate the changing environment effectively and maintain a strong regulatory standing, aligned with emerging risk areas.
We focus on key challenges such as data governance, trading risk, conduct risk, information security, and policy level gaps, helping clients stay ahead of regulatory trends and supervisory expectations.
OUR SERVICES
The team has rich expertise spanning the following areas:
Risk and Compliance Advisory:
Strategic advisory on licensing, business expansion, and structuring of new products, including in the digital finance space. Our support includes designing and implementing effective compliance and risk frameworks, conducting risk assessments, and establishing processes for monitoring, testing, and managing regulatory updates from authorities like the RBI and SEBI.
Policy Design and Governance:
Drafting, reviewing, and localising comprehensive policies and governance structures aligned with RBI, SEBI, and global standards. Our expertise covers frameworks for Anti-Money Laundering (AML), conflicts of interest, prevention of insider trading, whistleblowing, reputational risk, and outsourcing.
Corporate Governance and Board Advisory:
Advising boards, independent committees, and senior management on critical governance issues, including fit and proper assessments, accountability, business continuity, and shareholder engagement. We provide training for board members on their regulatory obligations and offer strategic support during business disruptions and reputational risk events.
Regulatory Investigations, Enforcement, and Settlements:
Assisting clients in regulatory inquiries, inspections, and investigations initiated by authorities like the RBI and SEBI. We provide support on internal investigations into potential market misconduct and assist in navigating show-cause notices, settlement proceedings, and appellate matters before the Securities Appellate Tribunal and other courts.
Our Team
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