> For the complete documentation index, see [llms.txt](https://help.jurisphere.ai/llms.txt). Markdown versions of documentation pages are available by appending `.md` to page URLs; this page is available as [Markdown](https://help.jurisphere.ai/jurisphere-guide/handbook/regulatory-advisory-and-compliance/stage-by-stage.md).

# Stage by Stage

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**This page is for the team running the matter.** The stages of the mandate in the order they happen, the tools the team opens at each, and the call the lawyer still owns.
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### Issue Framing

Frame the regulatory question and the applicable instruments. Press Tab in the prompt box to enhance the prompt automatically.

*Issue Framing.*
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### Primary Research

Select the relevant database(s); attach client documents for context. Submit the query; the Master Agent maps the path and the response drafts in seconds.

<details>

<summary>Research sector-specific regulatory requirements · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a></summary>

Identify applicable regulations for client's business activities: licensing requirements, reporting obligations, capital adequacy norms, conduct regulations

**How to use.** Query: "regulatory framework for \[fintech/NBFC/insurance/telecom] business in India", "licensing requirements for \[specific activity]", "compliance obligations under \[sector regulator] regulations"

</details>

<details>

<summary>Analyze RBI circular compliance · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Document Review</summary>

Review RBI master circulars, notifications for NBFCs/banks; assess compliance gaps; prepare implementation roadmap

**How to use.** Use Research to access and analyze relevant RBI circulars (e.g., "RBI guidelines on digital lending", "NBFC prudential norms"). Use Document Review to compare internal policies against regulatory requirements and flag gaps

</details>

*Primary Research.*
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### Secondary Research & Follow-ups

Up to thirty follow-ups per thread, contextually aware. Toggle Web Search to combine internal databases with real-time web sources.

<details>

<summary>Review SEBI disclosure obligations · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Document Review</summary>

For listed company/intermediary: analyze continuous disclosure requirements, material event notifications, insider trading restrictions

**How to use.** Query Research: "SEBI LODR continuous disclosure requirements", "material events requiring immediate disclosure". Use Document Review workflow to verify company's policies and past disclosures against SEBI norms

</details>

<details>

<summary>Analyze FEMA downstream investment compliance · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Company Profile · Document Review</summary>

Review Indian company's investments in foreign entities; verify compliance with ODI regulations, sectoral caps, reporting requirements

**How to use.** Use Research to identify FEMA ODI regulations and RBI reporting requirements. Use Company Profile to download company's ROC filings (Form FC-GPR for foreign investments). Analyze using Document Review

</details>

<details>

<summary>Monitor regulatory changes · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a></summary>

Track amendments to applicable laws/regulations; assess impact on client's business; prepare advisory notes

**How to use.** Set up Research queries for latest amendments: "recent changes to Companies Act 2013", "latest RBI circulars on \[topic]", "new SEBI regulations for \[intermediary type]"

</details>

<details>

<summary>Review data protection compliance · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Document Review</summary>

Analyze DPDP Act compliance: lawful processing basis, consent management, data localization, data principal rights, security safeguards

**How to use.** Use Research for DPDP Act interpretation and compliance requirements. Use Document Review to analyze privacy policy, data processing agreements, consent forms against Act requirements

</details>

<details>

<summary>Review shareholder agreement for governance rights · Document Review</summary>

Analyze governance provisions: board composition, reserved matters, affirmative/negative covenants, information rights, veto rights

**How to use.** Use workflows to extract governance provisions from SHA. Identify investor protective provisions, deadlock mechanisms, exit rights

</details>

*Secondary Research & Follow-ups.*
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### Synthesis & Opinion

Enable [Drafting on Document Review](https://jurisphere.gitbook.io/jurisphere-guide/drafting-on-document-review) on [Research](https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool) to render the answer in an editable drafting pane. Refine; run follow-ups that modify the draft directly.

<details>

<summary>Draft compliance checklist · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Document Review</summary>

Prepare periodic compliance calendar for Companies Act, SEBI, FEMA, labor laws, tax laws: filing deadlines, board meetings, AGM, statutory audits

**How to use.** Use Research to identify all compliance requirements for company type. Use Document Review drafting to generate structured compliance calendar with deadlines

</details>

<details>

<summary>Draft regulatory approval application · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a> · Document Review</summary>

Prepare application to RBI/SEBI/sectoral regulator for license, approval, exemption, clarification

**How to use.** Use Research to identify application format, information requirements, supporting documents. Use Document Review drafting with custom workflow based on prior successful applications

</details>

<details>

<summary>Draft board resolutions · Document Review · <a href="https://jurisphere.gitbook.io/jurisphere-guide/word-add-in/overview-of-the-word-add-in">Word Add-In</a></summary>

Prepare resolutions for board approval: related party transactions, borrowings, investments, key managerial personnel appointments, dividend declaration

**How to use.** Create custom workflow for each resolution type using prior precedents. Generate draft resolution with transaction-specific details. Edit using Word Add-In if needed

</details>

*Synthesis & Opinion.*
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### Output & Reference

Export the structured note as .docx with citations as hyperlinks. Import the response into a [Project](https://jurisphere.gitbook.io/jurisphere-guide/projects/overview-of-projects) for ongoing reference.

<details>

<summary>Prepare ROC filings · Company Profile · Document Review · <a href="https://jurisphere.gitbook.io/jurisphere-guide/research/overview-of-the-research-tool">Research</a></summary>

Draft forms for ROC filing: changes in directors/capital/registered office, charge creation/modification/satisfaction, annual returns

**How to use.** Use Company Profile to access prior filings for reference. Use Research for form requirements and attachments. Use Document Review drafting for form narratives and resolutions

</details>

<details>

<summary>Prepare minutes of board/shareholder meetings · Document Review · <a href="https://jurisphere.gitbook.io/jurisphere-guide/list-of-dates/overview-of-the-list-of-dates-tool">List of Dates</a></summary>

Draft minutes recording discussions, resolutions passed, disclosures made; ensure compliance with Companies Act format requirements

**How to use.** Use List of Dates to extract chronology of meeting events. Use custom workflow for minutes drafting based on firm template and agenda items

</details>

*Output & Reference.*
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{% hint style="success" %}
**At the end of the mandate.** From question to defensible note in a single working day. Every authority cited is current to today's RBI position. Every assertion opens to its source.
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---

# Agent Instructions
This documentation is published with GitBook. GitBook is the documentation platform designed so that both humans and AI agents can read, navigate, and reason over technical content effectively. Learn more at gitbook.com.

## Querying This Documentation
If you need additional information that is not directly available in this page, you can query the documentation dynamically by asking a question.

Perform an HTTP GET request on the current page URL with the `ask` query parameter, and the optional `goal` query parameter:

```
GET https://help.jurisphere.ai/jurisphere-guide/handbook/regulatory-advisory-and-compliance/stage-by-stage.md?ask=<question>&goal=<endgoal>
```

`ask` is the immediate question: it should be specific, self-contained, and written in natural language.
`goal` is optional and describes the broader end goal you are ultimately trying to accomplish on behalf of the user. GitBook uses it to tailor the answer towards what is most useful for that goal.

The response will contain a direct answer to the question and relevant excerpts and sources from the documentation.

Use this mechanism when the answer is not explicitly present in the current page, you need clarification or additional context, or you want to retrieve related documentation sections.