Securities Laws Compliances & IPO ADVISORY
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, and annual / periodical Compliances under Takeover Code for listed companies.
Giving opinions under the various Regulations / Guidelines/ Circulars of SEBI
Listing & Stock Exchange related matters:-
IPO / FPO – Advisory & Listing.
1. Listing of securities under IPO, Bonus Shares, Preferential Issue, Rights Issue, ESOP/ESOS, ADR/GDR issues, Debt and Mutual Funds.
2. Listing of securities under IPO, Bonus Shares, Preferential Issue, Rights Issue, ESOP/ESOS, ADR/GDR issues, Debt and Mutual Funds.
3. Completion of pre and post issue listing formalities with the stock exchanges.
4. Advising & representation with Stock Exchanges in matter related to revocation of suspended companies.
5. Advising & documentation in relation to Buyback of Securities.
6. Delisting of Securities through Reverse Book Building Process.
7. 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.
8. Certificate as required for transfer-cum-demat of Shares as required under the NSDL / CDSL Bye laws
9. Advising on all securities laws including Securities Contract Regulation Act, Securities and Exchange Board of India Act, Take Over Regulations, Insider Regulations etc.
10. Liaison and co-ordinate with the Registrar and Share Transfer Agents, Stock Exchange, Depositories and the Securities and Exchange Board of India.
11. Advising, documentation and representation in Arbitration Matters with the Stock Exchanges.