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.
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- 701, Bellavista, Plot No. 112A, Central Avenue Road, Chembur, Mumbai - 400071, India
- Support +91 9820674463
Resources
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Important Regulatory Links
A curated list of key regulatory authorities, government departments, professional bodies, stock exchanges, and financial regulators relevant to India and global markets.
Check our Resources
Important Regulatory Links
A curated list of key regulatory authorities, government departments, professional bodies, stock exchanges, and financial regulators relevant to India and global markets.
| Securities Regulators | Government Departments | Financial Regulators |
| Professional Bodies | Stock Exchanges | Other Important Links |
Leadership
Murali A. Krishnan (Founder)
With 41+ years of experience in corporate secretarial, legal, and compliance matters—including 25 years in financial services—Murali’s expertise spans SEBI, Mauritius FSC, US SEC, Canadian (BCSC & OSC) & 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, Mauritius FSC 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.
Murali also sits on the board of directors of Quantum Information Services Private Limited (A SEBI registered Investment Adviser and Research Analyst), HYNGO India Private Limited (A Section 8 Company that assists NGOs raise funding from donors/sponsors) & Common Sense Living Private Limited, as a non-executive director.
Murali has vast experience in SEBI, Mauritius FSC 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.
Murali also sits on the board of directors of Quantum Information Services Private Limited (A SEBI registered Investment Adviser and Research Analyst), HYNGO India Private Limited (A Section 8 Company that assists NGOs raise funding from donors/sponsors) & Common Sense Living Private Limited, as a non-executive director.
Leadership
Kiran Krishnan (Co-Founder & Principal Consultant)
Kiran is a regulatory compliance professional with 9 years of experience across SEC (US) and SEBI (India) frameworks, including advising SEC-registered investment advisers on mock examinations, annual reviews, and regulatory filings. Kiran has strong expertise in SEC Marketing Rule (206(4)-1), Form ADV/PF, compliance testing, and cross-border regulatory advisory. He previously worked on SEBI AIF/PMS compliance, fund reporting, and investor disclosures.
Kiran is a B.COM; LLB from Mumbai University and completed the IACCP Program from National Regulatory Services (NRS), USA (2021) which entails an intermediate-level knowledge of US Investment Adviser regulation and compliance best practices.
Previously, he worked at Kroll Inc. a US based investment adviser compliance consultancy firm, as Assistant Manager, Regulatory/ Compliance Consulting. While at Kroll he was involved in coordinating and working on the review and analysis of documents, client’s employee interviews, preparation of client’s employee interview outlines, drafting recommendations reports for Annual Reviews, SEC Mock exams, and SEC exam related assignments for Kroll’s clients. He was involved in working in around 10 SEC Mock Exams and 5 SEC Exam related assignments. He was also involved in independently:
- drafting and updating Annual Review reports,
- reviewing and updating client Form ADVs, Form PF’s, CRS,
- reviewing client marketing materials,
- drafting, reviewing and updating regulatory compliance manuals, code of ethics etc and
- conducting electronic communications reviews, personal trading reviews, political contributions reviews, social media reviews on behalf of our clients.
In this regard he has worked on compliance management systems/ softwares including ComplySci, Global Relay, Smarsh, among others.
Between March and December 2022 he worked as Manager Compliance with IIFL Asset Management Limited a well known financial services firm in Mumbai. During his stint at IIFL he worked in the compliance team that handled SEBI Portfolio Manager and AIF Compliance.
Prior to IIFL (I.e between December 2017 to March 2022) he worked in MAK & Associates as Compliance Consultant. While at MAK during this stint his work involved review of Disclosure Document prepared by the client as required under the SEBI (Portfolio Manager) Regulations; review of Advertisement - to ensure compliance with SEBI PMS Regulations and US Investment Adviser Rules; review/ updation of Compliance policies and procedures. preparation/ review of Form ADV Part 1A, 2A, 2B, Form CRS, Form D, Legal research/review, review of business agreements.
Leadership
Neelakantan Balasubramanian (Consultant)
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.
