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SECURITIES MANAGEMENT AND
COMPLIANCES
SECURITIES MANAGEMENT AND COMPLIANCES
SCRA SEBIDepositories
ActOther Laws
Issue Management
Foreign Issue Management
Indian Issue Management
Compliances of Rules and
Regulations
Inspection and Investigation
Securities Appellate
Tribunal (SAT)
Demat Procedures
Corporate Action
Securities Reconciliation
Certificate
Companies Act
FEMA Stamp ActInformation
Technology ActIncome-Tax Act Competition Act
Compliance of issuer Company in relation to Securities Related Laws and Capital Market
Issue Management
Listing
Public Issue
Private Placement
Preferential Allotment
Insider TradingBonus Issue Unfair Trade
Practices
Buy Back of Securities
Corporate Governance
EDIFAR
Due Diligence
Eligibility Norms Bankers to an Issue
Pricing of Securities
Depositories and
Participants
Appointment of Intermediaries
Registrar to an Issue and
Contents of Prospectus
Share Transfer Agents
Post Issue Obligations
Debenture Trustees
Compliance of various Rules
and RegulationsCustodian
Compliance of Listing
Agreement
Equity offload
By CompanyBy
Intermediaries
DelistingRight Issue
Other Clauses
INDIAN ISSUE MANAGEMENT
FOREIGN ISSUE MANAGEMENT
Issue Management (ADR/GDR)
Listing in Foreign Stock
ExchangesDue Diligence
Approvals Required
Principal Documentation
By Companies By Inter-
mediaries Appointment of
Agencies
Pre & Post Launch Additional Key
Action
Procedure and Management
Compliances of Basic Conditions
of Listing
Disclosure Requirements and Continuing
Obligations
Compliance of issuer Company in relation to issue of Securities in Foreign Countries
Compliance of Rules and Regulations
Inspection and Investigation
Securities Appellate Tribunal
Prohibition of Unfair Trade
Practices
Insider Trading
Takeover Code
ESOPs and ESOS
Buy-back of Securities
Buy-back through open
market
Buy-back through Book
Building
Buy-back through Tender
Offer
Model Code of Conduct
Continuing Disclosures
Maintenance of records and documents
Efficacy and Adequacy of
Security of Files and documents
COMPLIANCES UNDER SEBI ACT, RULES AND REGULATIONS
Open Offer Exemption
Compliances
Provisions To Issue of Shares or Debentures
Provisions Relating to Debentures
Return on Allotment
Buy-back of shares
Issue of Shares at Discount
Further Issue of Capital
Issue of Sweat Equity
Shares
Provisions Relating to Transfer of Shares &
Debentures
Compliances under Companies (Isue of Share Certificates)
Rules, 1960
Debentures with voting
rights
Debenture Trust Deed
Appointment of Debenture Trustees
Inspection of Trust Deed
Creation of Security and Debenture
Redemption Reserve
Transmission of shares (109B)
Refusal of Registration of
Transfer
Issue and Effect of Share Warrants to
Bearer
Transfer of Shares and Debentures (Section 108, 108A to 108I,
109, 110, 112)
COMPANIES ACT
Prospectus Subscription and Allotment
FEMA
FEM (Transfer or Issue of Security by a Person Resident Outside India) Regulations 2,000
Approvals of SIA/FIPB
Compliance of Terms and
Conditions of Approval
Filing of Forms and Reports and
Quarterly Reports
Compliances of Regulations in case of
Issue of Shares by International Offering through ADR / GDR
Recommended