A Company at the time of offering its securities to the Indian Public is required to comply with plethora of rules and regulation prescribed by the SEBI as well as Stock Exchanges. Therefore once a Company is listed on a Stock Exchange, numerous monthly, quarterly, six monthly annual documents have to be filed. For non-filing of returns, SEBI has prescribed heavy penalties therefore a Company has to be very prompt and particular in filing these returns. In this area we provide the following services:

1. Liaison with Securities & Exchange Board of India (SEBI):

For various matters a Company is required to liaison with SEBI mainly for investor related matters. We also represent the Company before the adjudicating office of SEBI for many matters and also we appear before SEBI Appellate Tribunal (SAT) against orders.

2. Stock Exchanges & on going compliances of listing agreement

Under the listing agreement with the stock exchange, a listed company has to comply with many conditions. It is also important to keep track of the time limits for complying the provisions. We also advice company on various clauses of listing agreement and also chalk out Annual Compliance Program (ACP). We also advice listed companies on various provisions of Substantial Acquisition of shares and takeover guidelines and also Insider Trading Regulations under the SEBI Act.

3. Liaison with the Share Transfer Agents

Under the SEBI Act, a Company has to appoint a Share Transfer Agent for handling shareholders related activities. Indian Stock Exchanges now allows issue of shares by a Company only in electronic format. Still there is major percentage of shares in all companies, which are yet to be converted into electronic format. The Registrars & Share Transfer Agent (R & T) is an authorised and registered agency with the SEBI, which is empowered to handle this function for a Company. These R & T agencies work in the interest of the investors and answerable to SEBI if any thing goes wrong with respect thereto.

4. Acting in advisory capacity

Acting in advisory capacity with respect to the functioning of various committees to be constituted by the Board such as Audit Committee, Remuneration Committee, Share Transfer / Investor Grievances Committee etc.

Corporate in India have recently started recognizing the importance of Corporate Governance. The Government authorities like SEBI Stock exchanges have also made it compulsory for companies to follow rules and regulations pertaining to the Corporate Governance. There are many requirements relating to disclosures on various aspects of the Company, formation of the committees etc. Following committees are required to be formed by a listed Company:

• Audit Committee



• Transfer Committee



• Remuneration Committee



• Investors Grievance Committee

5. Advising a Listed Company on

• De-listing of its shares from one or more Stock Exchanges under rules prescribed by SEBI.



• SEBI Substantial Acquisition of Shares and Takeover Regulations 1997 (SAST).



• SEBI (Prohibition of Insider Trading) Regulations 1992.



• Preferential Allotment of shares Regulations.



• SEBI (Issue of Sweat Equity) Regulations,2002.



• SEBI Disclosure & Investor Protection Guidelines 2000.