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.
Preloader Close
Close
- 701, Bellavista, Plot No. 112A, Central Avenue Road, Chembur, Mumbai - 400071, India
- Support +91 9820674463
Our Services
Services
Experienced Compliance Consulting
For SEBI, SEC RIA, and Global Regulatory Frameworks
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
As a Mumbai-based compliance consulting firm, we specialise in helping clients navigate SEBI regulations, US SEC RIA compliance, GIFT City requirements, and corporate governance obligations with clarity and confidence.
Services
SEBI Compliance Services
End-to-end regulatory support for Investment Advisers, Portfolio Managers, Research Analysts & Mutual Funds
We provide specialised SEBI compliance solutions covering registration, regulatory documentation, ongoing monitoring, and audit readiness to ensure that your business meets SEBI’s evolving compliance expectations with fully compliant frameworks and processes.
Our SEBI Compliance Offerings Include:
● Portfolio Manager (PM) registration and ongoing compliance
● Investment Adviser (IA) registration, assistance in meeting regulatory requirements & filings
● Research Analyst (RA) registration, assistance in meeting compliance requirements , reporting & documentation review
● Mutual Fund compliance, advisory & operational guidance
● Creation and review of risk-profiling frameworks
● Support with regulatory audits, gap analysis & compliance health checks
We provide specialised SEBI compliance solutions covering registration, regulatory documentation, ongoing monitoring, and audit readiness to ensure that your business meets SEBI’s evolving compliance expectations with fully compliant frameworks and processes.
Our SEBI Compliance Offerings Include:
Services
SEC Compliance (US RIA Compliance Services)
Experienced advisory services for US SEC-registered Investment Advisers and cross-border firms
We support India based and International Firms seeking to register [with US SEC as Investment Adviser and for ongoing compliance support.], Our guidance is built on real-world experience managing compliance for SEC-registered investment advisers, ensuring practical and accurate implementation.
Our SEC RIA Compliance Services Include:
Services
Corporate Secretarial Services
End-to-end corporate governance and statutory compliance support
Our corporate secretarial services help businesses maintain regulatory accuracy, meet statutory deadlines, and operate with strong governance practices.
Our Secretarial Services Include:
● Board meeting organisation, preparation of agenda & minutes
● Statutory compliance management and mandatory filings
● Corporate governance advisory for regulated entities
● Documentation, registers maintenance & record keeping
● Guidance under Companies Act requirements
Our corporate secretarial services help businesses maintain regulatory accuracy, meet statutory deadlines, and operate with strong governance practices.
Our Secretarial Services Include:
Services
Policy Formulation & Compliance Frameworks
Custom-built robust compliance policies aligned with SEBI, SEC, and global best practices
We help firms establish clear, robust internal compliance structures that meet regulatory requirements and support long-term governance.
Our Policy & Framework Services Include: