Sumit Agrawal
Founder at Regstreet Law Advisors- Claim this Profile
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Bio
Suvidha Shetty
Met Sumit at GLC during SLC Course. All I can say he is a Bare Act of Securities Law. His teaching style is remarkable and illustrious. He articulates the regulation like a story teller which makes his teaching style strikingly different from the rest. All I can vouch is that, even after the course one shall definitely remember the holistic interpretation of the regulation and the eminent cases he discussed. He is thorough professional yet approachable and friendly. On a professional background as well, he will always extend his helping hand in solving any regulatory queries in a proficient, dynamic, and timely way. Looking forward to working with you on a comprehensive project soon.
Abhilasha (Abi) Mondal
I first worked with Sumit during his time at SEBI, and have continued to work with him on several matters since then. Sumit has deep knowledge of Indian corporate law, and is an expert across matters pertaining to securities law litigation. Sumit is extremely passionate about his work, and demonstrates similar passion and interest in mentoring and coaching his team members, which is an admirable quality. I highly recommend him for matters pertaining to litigation in the indian financial regulation space.
Anjana Telang
Attending Sumit Sir lectures during SLC course was a complete deep dive in studying Law in Practice v Law in Statute. His teaching methodology invovled a cogent analysis of the law which was really helpful in disecting complex legal language.He taught us with great enthusisasm.I enjoyed attending each and every lecture and mossed none.
Suvidha Shetty
Met Sumit at GLC during SLC Course. All I can say he is a Bare Act of Securities Law. His teaching style is remarkable and illustrious. He articulates the regulation like a story teller which makes his teaching style strikingly different from the rest. All I can vouch is that, even after the course one shall definitely remember the holistic interpretation of the regulation and the eminent cases he discussed. He is thorough professional yet approachable and friendly. On a professional background as well, he will always extend his helping hand in solving any regulatory queries in a proficient, dynamic, and timely way. Looking forward to working with you on a comprehensive project soon.
Abhilasha (Abi) Mondal
I first worked with Sumit during his time at SEBI, and have continued to work with him on several matters since then. Sumit has deep knowledge of Indian corporate law, and is an expert across matters pertaining to securities law litigation. Sumit is extremely passionate about his work, and demonstrates similar passion and interest in mentoring and coaching his team members, which is an admirable quality. I highly recommend him for matters pertaining to litigation in the indian financial regulation space.
Anjana Telang
Attending Sumit Sir lectures during SLC course was a complete deep dive in studying Law in Practice v Law in Statute. His teaching methodology invovled a cogent analysis of the law which was really helpful in disecting complex legal language.He taught us with great enthusisasm.I enjoyed attending each and every lecture and mossed none.
Suvidha Shetty
Met Sumit at GLC during SLC Course. All I can say he is a Bare Act of Securities Law. His teaching style is remarkable and illustrious. He articulates the regulation like a story teller which makes his teaching style strikingly different from the rest. All I can vouch is that, even after the course one shall definitely remember the holistic interpretation of the regulation and the eminent cases he discussed. He is thorough professional yet approachable and friendly. On a professional background as well, he will always extend his helping hand in solving any regulatory queries in a proficient, dynamic, and timely way. Looking forward to working with you on a comprehensive project soon.
Abhilasha (Abi) Mondal
I first worked with Sumit during his time at SEBI, and have continued to work with him on several matters since then. Sumit has deep knowledge of Indian corporate law, and is an expert across matters pertaining to securities law litigation. Sumit is extremely passionate about his work, and demonstrates similar passion and interest in mentoring and coaching his team members, which is an admirable quality. I highly recommend him for matters pertaining to litigation in the indian financial regulation space.
Anjana Telang
Attending Sumit Sir lectures during SLC course was a complete deep dive in studying Law in Practice v Law in Statute. His teaching methodology invovled a cogent analysis of the law which was really helpful in disecting complex legal language.He taught us with great enthusisasm.I enjoyed attending each and every lecture and mossed none.
Suvidha Shetty
Met Sumit at GLC during SLC Course. All I can say he is a Bare Act of Securities Law. His teaching style is remarkable and illustrious. He articulates the regulation like a story teller which makes his teaching style strikingly different from the rest. All I can vouch is that, even after the course one shall definitely remember the holistic interpretation of the regulation and the eminent cases he discussed. He is thorough professional yet approachable and friendly. On a professional background as well, he will always extend his helping hand in solving any regulatory queries in a proficient, dynamic, and timely way. Looking forward to working with you on a comprehensive project soon.
Abhilasha (Abi) Mondal
I first worked with Sumit during his time at SEBI, and have continued to work with him on several matters since then. Sumit has deep knowledge of Indian corporate law, and is an expert across matters pertaining to securities law litigation. Sumit is extremely passionate about his work, and demonstrates similar passion and interest in mentoring and coaching his team members, which is an admirable quality. I highly recommend him for matters pertaining to litigation in the indian financial regulation space.
Anjana Telang
Attending Sumit Sir lectures during SLC course was a complete deep dive in studying Law in Practice v Law in Statute. His teaching methodology invovled a cogent analysis of the law which was really helpful in disecting complex legal language.He taught us with great enthusisasm.I enjoyed attending each and every lecture and mossed none.
Experience
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Regstreet Law Advisors
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India
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Law Practice
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1 - 100 Employee
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Founder
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Jun 2018 - Present
- Representing a variety of clients such as numerous Indian and Foreign listed companies and their promoters (controlling shareholders), Directors, General Counsels and Compliance Officers; Stock and Commodity Exchanges; Depository Participants; Financial Institutions; Non-Banking Financial Companies; Alternative Investment Funds; Foreign Portfolio Investors; Merchant Bankers / Investment Bankers; Brokers; Mutual Funds; Portfolio Managers; Registrars to an Issue and Share Transfer Agents; Research Analysts; Investment Advisors; Credit Rating Agencies; Aggregators; Pension Fund Managers; Custodians; Insurance Companies; Insurance Third Party Administrators; Corporate Agents; and other intermediaries before regulators, governmental authorities and judicial fora - Recommended and advised on suitability requirements of complex financial products, regulatory outlook, and provided legal solutions for their recognition and admissibility such as cryptocurrency in securities markets, or investment advisory in commodities or gaming apps for stock markets - Successfully represented various clients in a few high-profile cases relating to Insider Trading, Indirect foreign Takeover, Algorithmic Trading, Securities Fraud, and Corporate Governance, etc. - General corporate advisory - Supporting various foreign investors in navigating the regulatory and legal framework in India - Strategising and navigating clients in multi-regulatory cross-border investigation by SEBI (India), US SEC, UK FSA (Now FCA), MAS (Singapore) under the IOSCO framework - Leading a team of lawyers and managing the law firm Show less
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The Government Law College (GLC), Mumbai
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Postgraduate Diploma Course In Securities Law
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Visiting Faculty
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2008 - Present
Visiting Faculty, Government Law College, Mumbai since 2008-09 for Post Graduate Course in Securities Laws. Modules tutored relate to SEBI Act and Jurisprudence, Appellate Process and Policy Making Approach, Surveillance and Fraud Detection Techniques for Insider Trading, Fraudulent and Unfair Trade Practices, Takeover Code, Public Issue Norms and Listing violations etc. Visiting Faculty, Government Law College, Mumbai since 2008-09 for Post Graduate Course in Securities Laws. Modules tutored relate to SEBI Act and Jurisprudence, Appellate Process and Policy Making Approach, Surveillance and Fraud Detection Techniques for Insider Trading, Fraudulent and Unfair Trade Practices, Takeover Code, Public Issue Norms and Listing violations etc.
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Suvan Law Advisors
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Mumbai Area, India
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Co-Founder
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Jun 2016 - May 2018
Sumit co-founded Suvan Law Advisors where he advised listed companies, commodity and stock exchanges and other market intermediaries on regulatory issues, including on insider trading, fraud, takeover, listing requirements, governance issues etc. Suvan Law Advisors has been renamed as Regstreet Law Advisors. As a Regulatory Lawyer, he: - Advised and represented Insurance Regulator of India, the IRDAI in defending their orders at Securities Appellate Tribunal and providing legal opinions to them - Registering India’s first Information Utility, National e-Governance Services Limited (NeSL) with the Regulator the Insolvency and Bankruptcy Board of India (IBBI) - Advised listed companies, commodity and stock exchanges in financial regulatory issues - Represented various clients including institutional and individual promoters (controlling shareholders), market intermediaries on regulatory issues - Advised clients including stock exchanges and commodities exchanges in providing policy inputs to the regulator and the Government of India - Assisted in defence of charges brought against listed companies, individuals, market intermediaries with respect to insider trading, fraud, takeover, listing requirements, governance issues etc. - Member of industry bodies and committees such as Federation of Indian Chambers of Commerce & Industry (FICCI) Capital Markets Committee, Confederation of Indian Industry (CII) National Committee on Financial Markets - Led a team of lawyers and managed the law firm Show less
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SEBI
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Capital Markets
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700 & Above Employee
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Assistant Legal Advisor, Securities & Exchange Board of India (SEBI)
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Aug 2012 - May 2016
ENFORCEMENT DEPARTMENT - COMMODITIES & SECURITIES LITIGATION (Sep 2015 – Jun 2016):- Supervised and assisted in defending the orders of SEBI, its adjudicating officers, its whole-time members and recovery officers in the Securities Appellate Tribunal (SAT) LEGAL AFFAIRS DEPARTMENT - POLICY & REGULATORY AFFAIRS (Aug 2012- Aug 2015):- Member of the core drafting team and part of the High Level Committee under the chairmanship of Chief Justice N.K. Sodhi to review the Insider Trading Regulations in India- Part of the team that formulated SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and assisted Ministry of Finance with Securities Laws (Amendment) Act, 2014- Played a key role in formulating norms for tackling frauds and unfair trade practices, disclosures in public issues, merger of commodities market regulator the Forward Markets Commission (FMC) with SEBI- Defended the challenge to SEBI’s power to seek telephone Call Data Records in High Court and suggesting amendments to the law- Also worked closely with Ministry of Law and Justice, law firms, academia, offices of Attorney General of India and Solicitor General of India and other Senior Counsels in connection with policy making and litigations before various High Courts and the Supreme Court of India- Assisted in legislative drafting of numerous SEBI Regulations, further handled Bye-Laws and Rules of Stock Exchanges and Depositories, matters relating to other laws affecting Securities Market such as Anti-Money Laundering, Competition & Anti-cartel issues in Capital Market, Stamp Duty, Foreign Account Tax Compliance (FATCA), Benami Transactions, Commercial contractual issues, Foreign Exchange Management etc Show less
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Legal Officer & Assistant Legal Advisor, Securities & Exchange Board of India (SEBI)
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Jun 2007 - Jul 2012
INTEGRATED SURVEILLANCE DEPARTMENT, SEBI HEAD OFFICE- Posted as Legal Officer to assist the regulator in detecting frauds and governance issues in publicly held companies as well as conducting investigation, framing policy, and dealing with securities litigation and enforcement issues- Key member of the investigation team in the 'SATYAM Scam' and the 'Roopalben Panchal IPO Scam' - 2 of the most unique securities market irregularities in the world- Officer in-charge for policy/legislative issues of Private Treaties by Media Houses (SEBI is the only securities regulator in the world to take initiative against media houses who were building up the brand and stocks of companies)- Part of Indian Delegation to NASDAQ OMS for 7th SMARTS Surveillance Conference at NASDAQ MarketSite in New York City's Times Square, USA (SMARTS Surveillance Conference is an exclusive forum and invitation-only event for the international market surveillance community to gather and discuss the latest developments and trends within the industry, exploring how brokers, exchanges and regulators world over can work effectively together to promote market integrity.)- Assisted SEBI on the Enforcement Actions, Disgorgement orders, Freeze on securities, issuing Informal Guidances, inspection of stock exchanges, settlement of cases- Assisted in Investigation of cases through Integrated Market Surveillance System (IMSS) Alerts / Data Warehousing Business Intelligence System (DWBIS) pertaining to Insider Trading, Violations of Takeover Code, Fraudulent and Unfair Trade Practices (FUTP) Violations, Circular and Synchronized Trade / Market manipulation, violations vis-à-vis non-disclosures, etc.- Also worked closely with Ministry of Finance, Ministry of Corporate Affairs, Reserve Bank of India, Competition Commission of India, Institute of Company Secretaries of India, NASDAQ, U.S. Securities and Exchange Commission, Enforcement Directorate - Financial Intelligence Unit (FIU), etc. on several issues Show less
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Education
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2002 - 2007
National Law University, Jodhpur
B.B.A., LL.B. (Hons.), Corporate & Securities laws -
1999 - 2001
MHS School, Jaipur
X to XII Stdd., Physics, Chemistry and Mathematics
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