Securities Law & Capital Markets

Capital markets, SEBI, IPO, corporate actions and listing compliance advisory.

Security Law & Capital Marketing

Capital markets, SEBI, IPO, corporate actions and listing compliance advisory.

Public Offering Services

IPO planning and structuring
Mainboard IPO advisory
SME IPO assistance
Follow-on Public Offer (FPO)
Due diligence coordination
Merchant banker coordination
SEBI filing support
RHP/DRHP preparation support
Listing coordination

Corporate Actions

Rights issue planning
Bonus issue structuring
Preferential allotment advisory
SEBI compliance for preferential allotment
Pricing guidelines compliance
Shareholder approval processes

Registration Services

Merchant Banker registration
Stock Broker registration
Portfolio Manager registration
Investment Adviser registration
Research Analyst registration
Credit Rating Agency registration
Debenture Trustee registration
Foreign Portfolio Investor (FPI) registration
Custodian registration

Ongoing Listing Compliance

Quarterly compliance certification
Corporate governance reporting
Disclosures under Regulation 30
Related party transaction disclosures
Shareholding pattern reporting
Annual report preparation
Corporate announcements
Material event disclosures

M&A Regulatory Support

Takeover Code compliance (SEBI SAST)
Open offer management
Creeping acquisition compliance
Voluntary delisting advisory
Squeeze-out/drag-along processes

Insider Trading Framework

Code of conduct for insider trading
Trading window management
PIT (Persons of Insider Trading) register maintenance
UPSI (Unpublished Price Sensitive Information) handling
Pre-clearance procedures
Disclosure of trading by insiders

External Commercial Instruments

Foreign Currency Convertible Bonds (FCCB)
American Depositary Receipts (ADR)
Global Depositary Receipts (GDR)
ECB (External Commercial Borrowing) compliance
RBI approval assistance

Scope of work

SEBI and listed-entity compliance, from issue support through to the disclosure discipline a listed board is held to.

Issues & allotments

IPO and FPO support, including the SME platform
Rights, bonus and preferential allotments
FCCB, ADR and GDR issues; SEBI registrations
Buyback, delisting and capital reduction

Ongoing listed compliance

LODR compliances — quarterly, half-yearly, annual and event-based
Corporate governance framework and board committee support
Reconciliation of share capital audit
Annual report and annual secretarial compliance report

Conduct & investor matters

Acquisition and takeover code compliance
Insider trading code and structured digital database
Postal ballot and e-voting scrutiniser
Investor grievance and SCORES management

Regulators and authorities we work with: IFSCA · SEZ Development Commissioner · RBI · SEBI · IRDAI · PFRDA · MCA and ROC · NCLT · DGFT · CBIC and Customs · FIU-IND · India INX, NSE IFSC and IIBX.