The present study examines the legal and ethical practices followed in portfolio management at Imperial Money Pvt. Ltd., Nagpur, with particular emphasis on regulatory compliance, transparency, investor protection, risk disclosure, confidentiality, and professional integrity. A descriptive research design is adopted, using primary data collected through a structured questionnaire from 100 respondents and secondary data obtained from academic literature and official regulatory sources. The collected responses are intended to assess perceptions of existing practices and identify areas requiring improvement. The study emphasizes the role of ethical decision-making, transparent communication, and adherence to applicable regulatory standards in strengthening investor confidence. Its theoretical contribution lies in connecting regulatory compliance and business ethics with investor trust in the Indian financial services context. From a managerial perspective, the study highlights the importance of consistent risk disclosure, effective grievance redressal, confidentiality safeguards, and continuous compliance monitoring. The findings can support informed recommendations for responsible portfolio management and stronger investor relationships.

Sanket Namdevrao Kawale, Prof. Kushal M. Dharmik, "A Study of Legal and Ethical Practices Followed in Portfolio Management at Imperial Money Pvt. Ltd., Nagpur" International Journal of Scientific Research and Engineering Development, V9(5): Page(2210-2215) September - October 2026. ISSN: 2581-7175. www.ijsred.com. Published by Scientific and Academic Research Publishing.