MAK & Associates is a Mumbai-based regulatory compliance consulting firm, founded in July 2017, delivering specialised SEBI compliance services, SEC RIA compliance consulting, corporate secretarial services, and end-to-end legal and compliance advisory for financial service firms in India and globally.
We are a Mumbai-based compliance consultancy specializing in SEBI regulations and SEC RIA requirements. Our mission is to help India based portfolio managers, investment advisers, research analysts, and other financial firms navigate complex regulatory requirements, build robust compliance frameworks and avoid penalties. Backed by vast experience in Indian and international regulations, we ensure you stay ahead of evolving laws and confidently meet all SEBI and SEC obligations.
● 40+ years of combined regulatory experience of team.
● Exposure across SEBI, SEC, GIFT City and Corporate Governance.
● Proven compliance frameworks and policies.
● Strong ability to convert regulatory requirements into practical solutions.
● Mumbai-based team with global compliance exposure
● SEBI-registered Investment Advisers.
● SEBI registered Portfolio Managers (PMs).
● SEBI-registered Research Analysts.
● SEBI registered Mutual Funds.
● US SEC-registered Investment Advisers (RIAs).
● GIFT City IFSC entities.
● Cross-border investment advisory firms.
● Financial institutions and governance-driven organisations
Call Our Support 9 am to 6 pm. We’ll answer all your queries.
At MAK & Associates, we provide comprehensive compliance, regulatory, and corporate advisory services designed to help investment advisers, portfolio managers, fund managers, and financial service entities meet demanding regulatory standards in India and globally.
End-to-end regulatory support for Investment Advisers, Portfolio Managers, Research Analysts & Mutual Funds
Experienced advisory services for US SEC-registered Investment Advisers and cross-border firms.
Custom-built robust compliance policies aligned with SEBI, SEC, and global best practices
End-to-end corporate governance and statutory compliance support
End-to-end regulatory support for Investment Advisers, Portfolio Managers, Research Analysts & Mutual Funds.Experienced advisory services for US SEC-registered Investment Advisers and cross-border firms
With 41+ years of experience in corporate secretarial, legal, and compliance matters—including 25 years in financial services—Murali’s expertise spans SEBI, SEC, and cross-border compliance.
He previously served as Chief Compliance Officer at Quantum Advisors Pvt. Ltd., a SEBI-registered Portfolio Manager and an SEC-registered Investment Adviser and QIEF Management LLC, a Mauritius based FSC registered CIS Manager (part of the Quantum Advisors Group).
Murali has vast experience in SEBI and SEC compliance and is an advocate of robust governance practices. He holds a B.Com, LLB, ACS, and a Certificate of Practice (No. 27129) from the Institute of Company Secretaries of India.
Murali’s deep understanding of SEBI and SEC regulations and hands-on implementation makes him a reliable compliance advisor for complex regulatory challenges.
An experienced compliance and legal professional with an M.Com & LLB, Neelakantan has contributed to regulatory functions at Quantum group companies and brings strong analytical and compliance monitoring capabilities.
Consultant with MAK & Associates since January 2024, bringing extensive experience in corporate secretarial, legal, and compliance functions across various organizations
Consultant with MAK & Associates since January 2024, bringing extensive experience in corporate secretarial, legal, and compliance functions across various organizations
His background includes significant roles in financial services, including positions at Quantum Information Private Ltd and Quantum Asset Management Co Pvt Ltd. Neel holds an M.Com and LLB, adding valuable expertise to our team.
Founder of MAK & Associates with over 41 years of experience in corporate secretarial, legal, and compliance matters, including 25 years in the financial services industry
Former Chief Compliance Officer of Quantum Advisors Private Limited, a SEBI-registered portfolio manager and SEC-registered investment adviser. He brings extensive expertise in regulatory compliance across multiple jurisdiction
Contact us to schedule a consultation for your legal and compliance needs. We're here to help you navigate complex regulatory requirements.
Yes, we assist with Investment Adviser (IA), Research Analyst (RA) and Portfolio Manager SEBI registration, documentation, suitability frameworks, and regulatory filings.
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Yes. We support Indian and global firms with SEC registration, Form ADV preparation/Filing and compliance documentation from India.
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Yes. We provide complete corporate secretarial, governance advisory, and statutory filing support
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Absolutely. We advise firms operating between India, the US, and GIFT City on regulatory expectations and compliance frameworks.
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