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