Securities Laws & Capital Market Services

We provide comprehensive advisory and compliance services under Securities Laws and Capital Market regulations. Our expertise ensures seamless regulatory adherence for listed and unlisted entities while maintaining transparency and investor confidence.

Our Services :

• IPO & Listing Management: Comprehensive management of Mainboard and SME IPOs, including drafting of DRHP/RHP, coordination with Merchant Bankers, and acting as the company-side listing consultant and Secretarial Due Diligence for IPOs.
• Debt Listing: Listing of Non-Convertible Securities through Private Placement and Compliance thereof as per SEBI Regulations.
• Listing of Securities of Existing Listed Companies: Migration of SME Listed Company to Main Board, Direct Listing to other Exchanges, Listing of Securities from Dissemination Board to Main Board.
• Listing Compliance (LODR): Ensuring continuous compliance with SEBI (Listing Obligations and Disclosure Requirements) Regulations, including quarterly/annual filings and corporate governance reports, Related Party Transactions (RPTs), Promoters reclassification.
• Takeovers & Acquisitions: Due Diligence of Target Company before acquisition, Compliance & Advisory relating to SEBI (SAST) Regulations, Exemptions from SEBI and managing the entire process of Takeover including Public Announcements, Detailed Public Statements, and Open Offers through Merchant Bankers.
• Insider Trading Controls: Implementation of SEBI (Prohibition of Insider Trading) Regulations with Listed Companies, drafting of Fair Practice Code for UPSI, Codes of Conduct and implementation of Structured Digital Databases (SDD).
• Buy-back of Shares: Buy-back of Shares as per Companies Act, 2013 and/or SEBI (Buy-back of Securities) Regulations, 2018 along with Direct Tax Advisory.
• Delisting/Relisting of Shares: Managing voluntary delisting, whether exit opportunity required or not.
• Issue of Securities: Advisory & Execution of Issue of Shares, Warrants and Debt Securities on Preferential Basis, Right Issue, Bonus Issue, QIPs, ESOPs and Sweat Equity as per SEBI (ICDR) Regulations, 2018 and Companies Act, 2013, Approval from Stock Exchanges – In principle, Listing and Trading Approvals, Conversion of Warrants / Debentures.
• Employee Stock Options: Drafting of policies and implementation of ESOP as per Companies Act, 2013; ESOP, ESPS, REBS and SARS schemes in compliance with SEBI (SBEB) Regulations along with in-principal approval from Stock Exchanges.
• Exchange-Specific Matters: Handling Migration from SME to Mainboard, Revocation of Suspended Companies, and Direct Listing on NSE/BSE/MSEI.
• Adjudication & Representation: Appearing before SEBI and the Securities Appellate Tribunal (SAT) for adjudication proceedings and compounding of offences.
• New-Age Listings: Specialized advisory for REITs, InvITs, and listing on the Social Stock Exchange (SSE) for NGOs.
• Corporate Action: Split-off and Consolidation of Shares, Bonus Issue and Compliance of Stock Exchanges.