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Portfolio Management Services (PMS) Legal & Compliance Advisory

Expert portfolio management services legal support for fund managers, PMS providers, and financial institutions. We deliver strategic PMS legal services, compliance advisory, and regulatory guidance aligned with SEBI norms and Indian financial laws.

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Comprehensive PMS compliance services and legal advisory for portfolio managers, investment professionals, and regulated entities across India.

Overview

About Our PMS Legal Services

Our portfolio management services legal advisory supports PMS providers, fund managers, and investment professionals in meeting regulatory, compliance, and governance requirements under SEBI regulations.

We provide PMS investment legal advice covering registration, disclosures, reporting obligations, client agreements, and regulatory risk management—ensuring smooth operations and investor confidence.

What We Offer

Key Portfolio Management Legal & Compliance Services

Comprehensive solutions tailored to your specific needs

PMS Compliance Services

End-to-end compliance support under SEBI (Portfolio Managers) Regulations, including filings, audits, and reporting.

PMS Legal Services

Drafting and vetting of PMS agreements, disclosure documents, investment mandates, and internal policies

PMS Investment Legal Advice

Legal advisory on investment structures, fiduciary duties, conflict management, and risk mitigation.

Portfolio Management Advisory Services

Strategic legal advisory for governance, compliance frameworks, and operational best practices.

SEBI Regulatory Advisory for PMS

Guidance on registration, renewals, inspections, and regulatory responses.

Professional PMS Support

Ongoing legal support for portfolio managers, trustees, and investment committees.

Our Approach

Our Approach to PMS Legal & Compliance Advisory

A systematic approach to ensure the best outcomes for your case

Step-1

Regulatory Assessment

Review of PMS structure, registrations, and compliance status.

Step-2

Risk & Compliance Analysis

Identification of legal, regulatory, and operational risks.

Step-3

Strategic Legal Advisory

Tailored portfolio management advisory services aligned with SEBI norms.

Step-4

Ongoing Compliance Support

Continuous professional PMS support, filings, and regulatory representation

Risk Governance & SEBI-Aligned PMS Compliance

Portfolio Management Services operate under strict SEBI regulations, requiring continuous oversight of disclosures, client agreements, and investment mandates. Our PMS legal advisory helps portfolio managers identify regulatory, operational, and fiduciary risks early, ensuring compliance with evolving SEBI guidelines while maintaining transparency and investor trust.

Ongoing Legal Support for PMS Providers

Beyond initial compliance, we offer ongoing legal and regulatory support to PMS providers, including responses to SEBI queries, regulatory inspections, and governance reviews. Our proactive approach ensures seamless operations, timely compliance updates, and reduced regulatory exposure.

Portfolio Management Services – Legal & Regulatory Overview

Portfolio Management Services (PMS) in India are regulated by SEBI to ensure transparency, investor protection, and ethical fund management. PMS providers must comply with strict disclosure, reporting, and governance requirements.

Key regulatory focus areas include:

Client onboarding and agreements

Investment discretion and mandates

Periodic disclosures and reporting

Risk management and compliance audits

Investor grievance redressal

Our PMS legal services ensure full alignment with portfolio management services regulations and evolving SEBI guidelines.

Excellence

Committed to delivering outstanding legal outcomes

Client-Centric

Your success is our primary objective

Precision

Meticulous attention to every legal detail

Why Choose Us

Why Choose VIVS LEGAL for PMS Legal Services?

Deep expertise in portfolio management services law

Strong understanding of SEBI PMS regulations

End-to-end PMS compliance services

Strategic PMS investment legal advice

Trusted advisors to financial institutions and professionals

Crores Recovered

Partner Institutions

Compliance Rate

Client Support

Need Expert PMS Legal & Compliance Support?

Consult our legal experts for trusted portfolio management services advisory and compliance solutions across India.