Securities Laws Services
SEBI Matters
Listing & Stock Exchange related matters
SAT & Consent Matters
Corporate Governance
Market Intermediaries
Corporate Laws
Securities Laws
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Securities Laws
SEBI Matters
  • Preparation of the Offer Documents – Public Announcement, Letter of Offer, Draft Prospectus, and Draft Letter of Offer for Rights Issues.
  • Checking the Offer Documents prepared by the merchant bankers, as to ensure that they are in conformity with the extant guidelines.
  • Preparation of application form for registration as an intermediary with SEBI viz., Portfolio Managers, Merchant Bankers, Mutual Funds etc. and follow up for registration.
  • Handling exemption applications for companies, desirous of obtaining exemption from the application from the applicability of the Takeover Regulations.
  • Preparation of application for Consent Orders and the follow up under the new Consent Order Scheme of SEBI.
  • Ensuring compliances with the Listing Agreement, particularly with regard to Corporate Governance, Clause 35, and annual / periodical Compliances under Takeover Code for listed companies.
  • Giving opinions under the various Regulations / Guidelines/ Circulars of SEBI.

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Listing & Stock Exchange related matters
  • IPO / FPO – Advisory & Listing.
  • Listing of securities under IPO, Bonus Shares, Preferential Issue, Rights Issue, ESOP/ESOS, ADR/GDR issues, Debt and Mutual Funds.
  • Listing of securities under IPO, Bonus Shares, Preferential Issue, Rights Issue, ESOP/ESOS, ADR/GDR issues, Debt and Mutual Funds.
  • Completion of pre and post issue listing formalities with the stock exchanges.
  • Advising & representation with Stock Exchanges in matter related to revocation of suspended companies.
  • Advising & documentation in relation to Buyback of Securities.
  • Delisting of Securities through Reverse Book Building Process.
  • Assisting in various Compliances pertaining to Listing Agreement of the Stock Exchanges and various regulations of SEBI which are applicable to the companies like Takeover Code and Insider Trading Regulations.
  • Certificate relating to the quarterly Secretarial Audit for reconciliation as required under notification issued by SEBI
  • Certificate as required for transfer-cum-demat of Shares as required under the NSDL / CDSL Bye laws
  • Certificate as required for completion of the transfers as required under Clause 47 of the Listing Agreement
  • Advising on all securities laws including Securities Contract Regulation Act, Securities and Exchange Board of India Act, Take Over Regulations, Insider Regulations etc.
  • Liaison and co-ordinate with the Registrar and Share Transfer Agents, Stock Exchange, Depositories and the Securities and Exchange Board of India.
  • Advising, documentation and representation in Arbitration Matters with the Stock Exchanges.
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SAT & Consent Matters
  • Advising, documentation and representation in Consent Matters with SEBI.
  • Advising, documentation and representation in matters with Securities Appellate Tribunal (SAT).
Corporate Governance
  • Compliance with Clause 49 of the Listing Agreement.
  • Forming and monitoring compliance of Charter of Audit Committee.
  • Forming & monitoring compliance with Code of conduct
    for Board procedures.
  • Preparation of annual report incorporating the necessary requirements of clause 49 of the listing agreement.
  • Expressing opinion on the interpretation of the SEBI Corporate Governance Code.
  • Assisting in drafting the various codes required under Corporate Governance Code.
  • Attending meetings of the Board and Audit Committee of listed public limited companies.
  • Assisting in periodical Corporate Governance compliance and audit.
Market Intermediaries
  • Incorporation and Registration of Market Intermediaries with SEBI /FMC.
  • Assisting in various Compliances under SEBI.
  • Liasoning with Stock Exchanges, SEBI, and other Intermediaries.
  • Conduct of Internal Audit of operations of Brokers, Depository Participants, etc.
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