About KP RegTech
SEBI Compliance Experts & Regulatory Consultants
Empowering Market Intermediaries with Clarity, Structure & Confidence
Contact Advisory TeamWho We Are
KP RegTech is an independent regulatory and compliance advisory practice focused on helping businesses navigate the evolving requirements of the Indian securities market.
Our principal focus is SEBI regulatory compliance, with particular expertise in supporting:
We understand that regulatory compliance is more than preparing documents or completing periodic filings. Effective compliance requires an organisation to understand the applicable regulations, establish appropriate policies and processes, maintain accurate records, make the required disclosures and continuously monitor changes in the regulatory environment.
That is why our approach combines regulatory understanding with practical implementation. Whether a client is entering the regulated financial ecosystem, strengthening an existing compliance framework, preparing for an annual compliance audit or seeking ongoing regulatory support, we work towards building a structured and sustainable compliance environment.
Our SEBI Compliance Expertise
Our professional work is centred around the regulatory and compliance requirements of SEBI-regulated businesses.
SEBI Registration & Licensing
End-to-end registration support for Research Analysts (RA), Investment Advisers (IA/RIA), and Portfolio Managers (PMS) including eligibility structuring, documentation, and query resolution.
SEBI Compliance Framework
Designing internal compliance policies, SOPs, checklists, code of conduct, risk management controls, and KYC/PMLA compliance mechanisms.
RA Compliance & Regulatory Support
Comprehensive compliance management under SEBI (Research Analysts) Regulations, 2014, including report reviews, disclosure frameworks, RA audits, and regulatory tracking.
RIA / Investment Adviser Compliance
Advisory and compliance under SEBI (Investment Advisers) Regulations, 2013 covering risk profiling, suitability assessments, client agreements, fee limits, and RIA audits.
SEBI Compliance Audits
Mandatory annual compliance audits and regulatory health reviews for RAs and RIAs, with rigorous gap analysis and actionable remediation reports.
Ongoing Compliance & CaaS
Year-round compliance monitoring, periodic regulatory filings, compliance calendar management, and virtual compliance officer outsourcing.
Advertisement & Communication Compliance
Review and vetting of marketing materials, social media posts, performance claims, and advertisements against SEBI Advertisement Codes and BASL/RAASB standards.
Inspection Readiness & PIT Compliance
Mock regulatory inspections, deficiency remediation, SEBI Prohibition of Insider Trading (PIT) compliance, and corporate secretarial advisory.
SEBI-Aligned Digital Solutions
Digital compliance architecture, automated filing reminders, KYC workflows, and review-ready data structures powered by VintushTech.
Our Mission & Vision
Our Mission
"To Empower Businesses to Navigate Regulatory Complexity with Clarity, Confidence and Control"
We partner with clients as proactive regulatory and compliance advisors - helping them anticipate risks, strengthen governance frameworks and maintain regulatory alignment. Our objective is to allow businesses to focus on their core activities while maintaining a structured approach to regulatory compliance.
- Providing clear and practical regulatory guidance
- Strengthening compliance and governance frameworks
- Identifying regulatory risks before they become larger issues
- Supporting informed regulatory decision-making
- Maintaining high standards of integrity and transparency
- Helping clients achieve their business objectives within the applicable regulatory framework
Our Vision
"To Be a Trusted Regulatory Partner for Businesses Operating in India's Regulated Financial Ecosystem"
We aim to set benchmarks in compliance quality, governance standards and regulatory discipline. We envision a compliance ecosystem in which businesses operate with:
- Clarity about their regulatory obligations.
- Transparency in their processes and disclosures.
- Confidence in their compliance framework.
- Control over regulatory risks.
- Readiness for regulatory review and change.
What We Stand For
The non-negotiable principles that guide every advisory engagement and audit we undertake.
Integrity First
We operate with high professional and ethical standards, maintaining transparency and honesty throughout our client engagements.
Client-Centric Excellence
Every business has a different operating model and regulatory environment. We therefore seek to provide solutions aligned with the client's specific requirements rather than relying solely on generic approaches.
Innovative Solutions
Regulations, technology and business models continue to evolve. We continuously improve our methodologies and incorporate appropriate technology and modern compliance practices.
Collaborative Partnership
We work alongside our clients as a regulatory and compliance partner, helping them understand requirements and implement practical solutions.
Confidentiality
Regulatory and business engagements involve sensitive information. We maintain appropriate confidentiality and professional standards in handling client information.
Results-Driven Approach
Our focus is on practical compliance outcomes - stronger processes, better documentation, improved regulatory readiness and greater visibility over compliance obligations.
Our Professional Approach
A structured four-step framework delivering consistent, rigorous, and dependable compliance outcomes.
Understanding & Analysis
We begin by understanding the client's business model, regulatory status, operations, compliance requirements and objectives. This allows us to identify the regulatory requirements that are relevant to the specific engagement.
Strategic Planning
We develop a structured approach based on the client's regulatory requirements, business objectives, timelines and existing compliance framework.
Implementation & Execution
We assist with implementing the required compliance processes, documentation, policies and controls with attention to regulatory accuracy.
Monitoring & Support
Compliance does not end once a framework has been established. We provide ongoing support, monitoring and regulatory updates to help clients respond to changes in applicable requirements.
Our Professional Expertise
Tailored compliance management across all major SEBI intermediary classifications.
Research Analysts
We support Research Analysts with regulatory and compliance requirements relating to their regulated activities, including registration-related requirements, compliance frameworks, ongoing compliance, disclosures, audit preparation and regulatory support.
Investment Advisers & RIAs
We support Investment Advisers with their regulatory compliance requirements, including compliance framework, documentation, disclosures, ongoing compliance, regulatory reviews and audit readiness.
Portfolio Managers
We provide regulatory and compliance support relevant to Portfolio Manager activities and their applicable compliance framework.
Regulated Financial & Technology Businesses
We also work with businesses operating at the intersection of finance and technology, helping address regulatory, digital and technology-enabled compliance requirements.
Meet Our Expert Team
Seasoned compliance professionals, company secretaries, and regulatory advisors dedicated to your success.
CS Kavita Pamnani
Head- PMS & Regulatory Advisory
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CS Kavita Pamnani
Head- PMS & Regulatory Advisory
Kavita Pamnani is a Fellow Member of the Institute of Company Secretaries of India (ICSI) and and holds a Bachelor of Laws (LL.B.), bringing deep expertise across corporate laws, SEBI regulations, FEMA, and regulatory compliance frameworks.
Kavita is a seasoned corporate and regulatory professional with over 22+ years of experience in secretarial practice, compliance audits, and complex regulatory advisory, with significant expertise in Portfolio Management Services (PMS), Investment Adviser (IA), and Research Analyst (RA) regulatory frameworks. She has advised SEBI-registered Research Analysts, Investment Advisers, and large PMS houses on secretarial audits, SEBI and FEMA compliances, and corporate governance matters, and is known for her practical, detail-oriented approach to ensuring regulatory excellence.
At KP RegTech, Kavita leads the PMS Compliance & advisory vertical, driving high-quality execution and regulatory alignment for clients operating in SEBI-regulated environments.
CS Manish Agrawal
Senior Advisor– Corporate Compliance
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CS Manish Agrawal
Senior Advisor– Corporate Compliance
Manish Agrawal is an Associate Member of the Institute of Company Secretaries of India (ICSI) and holds a Bachelor of Laws (LL.B.), with extensive experience in corporate law, regulatory, and secretarial compliance.
Manish has provided advice on compliance with the Companies Act, FEMA, RBI, and SEBI regulations, as well as corporate governance, filings, and NBFC regulations.
At KP RegTech, Manish specializes in technology-driven compliance solutions, specifically assisting SEBI Registered Investment Advisers (IA) and Research Analysts (RA) in meeting changing regulatory requirements.
CS Shivam Garg
Senior Associate- Audit & Corporate Compliance
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CS Shivam Garg
Senior Associate- Audit & Corporate Compliance
CS Shivam Garg is an Associate Member of the Institute of Company Secretaries of India (ICSI) with experience in corporate law, governance, and regulatory compliance. He advises businesses on Companies Act compliances, secretarial practice, SEBI regulations, and corporate governance, helping organizations effectively meet their statutory and regulatory obligations.
He has significant experience in conducting Annual Compliance Audits for SEBI-registered Research Analysts (RA) and Investment Advisers (IA), including review of regulatory compliances, governance frameworks, client documentation, disclosure requirements, and compliance processes under the SEBI (Research Analysts) Regulations and the SEBI (Investment Advisers) Regulations.
Shivam has handled a wide range of assignments involving company incorporations, annual and event-based filings, secretarial audits, SEBI (LODR) compliances, board and shareholder advisory, due diligence, FEMA compliances, commercial agreements, and legal documentation. He has also advised private companies, listed entities, LLPs, start-ups, and foreign-invested businesses on corporate restructuring, governance frameworks, and regulatory reporting.
At KP RegTech, Shivam specializes in audit engagements for Research Analysts and Investment Advisers, SEBI regulatory compliance, corporate and secretarial advisory. He supports clients in implementing robust compliance frameworks, conducting regulatory audits, strengthening governance practices, and ensuring adherence to evolving regulatory requirements through practical and commercially focused solutions.
Adv. Shivam Ujjainwal
Counsel – Litigation & Legal Advisory
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Adv. Shivam Ujjainwal
Counsel – Litigation & Legal Advisory
Shivam Ujjainwal is a practicing advocate, enrolled with the Bar Council of India and the Bar Council of Delhi bringing experience in litigation, legal drafting, and corporate advisory matters. He has handled legal assignments across civil, criminal, and corporate matters before courts and regulatory authorities.
At KP RegTech, Shivam supports litigation strategy, legal drafting, research, documentation, and regulatory advisory. His work primarily focuses on compliance and legal support for SEBI-registered Investment Advisers (IA) and Research Analysts (RA).
Tushar Kumar
Technology Partner – Web & Compliance Solutions
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Tushar Kumar
Technology Partner – Web & Compliance Solutions
Tushar is a technology specialist focused on building compliance-aligned digital systems for regulated businesses, particularly in the financial services domain.
Tushar brings hands-on experience in developing full-stack web platforms, AI-powered tools, and automation-driven workflows that support structured, scalable, and audit-ready operations. He has developed and delivered end-to-end platforms including client onboarding systems, booking and scheduling engines, admin-controlled content frameworks, and secure communication workflows- each designed to ensure traceability, documentation, and process integrity as expected in regulatory environments. His expertise further extends to Generative AI and intelligent automation, where he has built systems for data analysis, reporting automation, and AI-assisted decision support, enabling businesses to reduce manual intervention, improve accuracy, and maintain consistency in compliance processes.
At KP RegTech, Tushar supports the development of SEBI-aligned websites, AI Solutions and internal systems, ensuring that digital infrastructure is not only functional but also structured to withstand regulatory scrutiny, audits, and inspections.
Powered by VintushTech
Bridging deep regulatory acumen with enterprise-grade compliance automation.
At KP RegTech, our regulatory advisory is strengthened by technology solutions developed in collaboration with VintushTech. This enables our clients to leverage automated compliance tracking, digital record management, automated filing reminders, and audit-ready data structures.
Why KP RegTech?
A trusted regulatory partner combining domain mastery, practical structuring, and technology-driven efficiency.
Specialised Regulatory Focus
Our practice is centred on SEBI regulatory compliance and advisory, with particular expertise in Research Analysts and Investment Advisers.
Experienced Professionals
Our team brings together Company Secretarial, legal, regulatory, audit and technology capabilities.
Practical Compliance Approach
We focus on translating regulatory requirements into practical policies, processes, documentation and controls.
Regulatory & Audit Perspective
Our expertise extends beyond routine compliance to regulatory reviews, compliance audits, gap assessments and inspection readiness.
Technology-Enabled Solutions
We combine professional regulatory knowledge with technology, automation, AI and digital systems where these can improve compliance processes.
Long-Term Partnership
Our objective is to build lasting professional relationships and provide continuing support as our clients' regulatory requirements evolve.
Our Commitment to Clients
At KP RegTech, we believe that effective compliance should provide more than protection against regulatory risk.
A well-designed compliance framework should give businesses:
Frequently Asked Questions
Clear, direct answers regarding our advisory practice, services, and regulatory scope.
A SEBI compliance consultant helps businesses understand and implement applicable SEBI regulatory requirements through appropriate policies, processes, documentation, disclosures, controls and compliance monitoring.
KP RegTech specialises in regulatory compliance and advisory for Research Analysts, Investment Advisers and other market intermediaries, including registration, compliance framework setup, ongoing compliance, compliance audits, regulatory reviews, advertisement compliance and inspection readiness.
Yes. KP RegTech provides regulatory and compliance support for Research Analysts, including compliance framework support, ongoing compliance, regulatory documentation, audit preparation and related advisory.
Yes. KP RegTech provides compliance and regulatory support for Investment Advisers and RIAs, including compliance framework, documentation, ongoing compliance, regulatory reviews and audit readiness.
Yes. KP RegTech provides compliance audit and regulatory review services covering applicable regulatory requirements, records, documentation, processes, disclosures and other relevant compliance areas.
KP RegTech provides regulatory and compliance support for eligible applicants seeking applicable SEBI registration, including Research Analyst, Investment Adviser and Portfolio Manager-related requirements.
No. KP RegTech is an independent regulatory and compliance advisory practice. It is not affiliated with, registered with, approved by, or endorsed by SEBI or any regulatory authority. References to SEBI regulations are made solely for professional advisory purposes.
KP RegTech combines Company Secretarial, legal, audit, and compliance-technology expertise under one practice, supported by its proprietary technology platform, VintushTech, for SEBI-aligned digital compliance solutions.
Yes. While RAs and RIAs are our principal focus, we also support Portfolio Managers and other regulated financial and fintech businesses. See our full services for details.
You can contact our advisory team directly by visiting our Contact Us page, scheduling an online consultation, emailing us at info@kpregtech.com, or connecting via WhatsApp.
Work With KP RegTech
Whether you are planning to enter the regulated financial ecosystem, already operating as a SEBI-regulated entity, strengthening your compliance framework or preparing for a compliance audit or regulatory review, KP RegTech can help you approach your regulatory obligations with greater clarity and structure.