Listed securities in India are primarily governed by three statutes: the Securities and Exchange Board of India Act 1992 (the SEBI Act); the Securities Contract (Regulation) Act 1956 (SCRA); and the Depositories Act 1996 (the Depositories Act), each as amended. In India, Securities Laws are governed and regulated by the Securities Exchange Board of India (SEBI). SEBI Law and Regulations made there under gives confidence to the investors in Indian Capital Market as they get accurate, consistent and transparent information on corporate action and announcements.

In a listed entity the compliance of securities laws require a close monitoring, mapping and updation on securities laws on daily basis on the part of the compliance officer of the company to ensure timely compliance and to avoid heavy penalties and fines as prescribed in the statues.

We provide Securities Law Advisory services to the listed entities which inter-alia includes-

• To make an annual compliance calendar (as amended) depending on the requirement of client’s business and corporate actions.
• To monitor and mapping of various SEBI regulations to ensure strict compliances of securities laws.
• To draft, finalize and report corporate action announcement, financial results, shareholding structure, capital reconciliation audit report and other statutory filing with Stock Exchange(s) and SEBI.
• To examine the facts of the case and prepare the representation and reply before the regulatory authorities.
• To do co-ordination and liaison with market intermediatories such as RTA and Depositories etc to ensure timely reporting and data verification.
• To provide complete advisory, planning and execution of –
  • Buy Back of Securities,
  • De-listing of Securities,
  • ESOP,
  • Issue of Securities,
  • Take Over of Company- Change in Management Control
  • Open Offer to existing members.
  • Dematerization of Securities