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- 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.
Kindly refer to www.sebi.gov.in for further guidance |
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Listing & Stock Exchange related matters |
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- 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.
Kindly refer to www.nseindia.com / www.bseindia.com for further guidance. |
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- Advising, documentation and representation in Consent Matters with SEBI.
- Advising, documentation and representation in matters with Securities Appellate Tribunal (SAT).
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- 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.
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- 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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