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SECURITIES LAW ADVISORY

SEBI plays an important role in regulating all the players operating in the Indian capital markets. It attempts to protect the interest of investors and aims at developing the capital markets by enforcing various rules and regulations. At The Startup Trends, we offer registration and compliance services.

SEBI Regulation Act, 1992 has been enacted to protect the interests of the investors and to keep the market transparent and responsible. A listed entity is under the responsibility and mandatorily needs to disclose material information to SEBI Compliance. The Company shall require to determine material information derived from the said events or activity or business. The company also need to formulate a policy for the determination of material information and material event, which shall also be placed on the website of company.

The company needs to disclose on a quarterly/half-yearly/annual basis and event-based disclosures to SEBI Compliance:

The outcome of the Board Meeting: The Listed entity is required to disclose the information to the Exchange within 30 minutes of the closure of the meeting according to SEBI Regulation, 2015.

Financial Results: Every listed entity shall be required to submit its quarterly results within 45 days from the end of each quarter along with a Limited Review Report to the Stock Exchange.Further, every listed entity shall be required to submit its Annual Audited standalone financial results within 60 days from the end of the financial year to the Stock exchange.

Investor Complaints Statement:The statement of Investor complaints needs to submit by an entity within 45 days from the end of each quarter detailing the pendency/ received/ disposed of/ unresolved complaint status.

Annual report: Every listed entity shall require to submit its annual report along with notice of the Annual General Meeting sent to Shareholders to the Stock exchange not later than the day of initiating the send-off to its shareholders.If any changes to the annual report, the revised shall be sent not later than 48 hours after the annual general meeting.

Certificate from PCS: A certificate from Practicing Company Secretary certifying that all the certificates pertaining to the transfer, sub-division, consolidation, etc. have been issued within 30 days is required to produce within 1 month of the end of each half of the financial year.

Shareholding Pattern: The listed entity shall submit to exchange the statement showing the shareholding pattern from time to time: A day before the listing of its securities on the stock exchange within 21 days from the end of each quarter in case of a quarterly basis. In case of capital restructuring resulting in a change exceeding 2% of the total paid-up share capital- within 1 month of change.

Corporate Governance Report: The Corporate Governance report shall be submitted within 15 days from the end of the quarter by a listed entity that falls in the category to submit to the stock exchange.

Our offerings

Registrations for an Investment Advisor, Research Analyst, and Stock Brokers and assisting in the filing of various forms under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations.
Assisting in the filing of various forms under SEBI Prohibition of Insider Trading Regulations.
Advising on various SEBI Regulations like SEBI Takeover Code, SEBI Insider Trading Regulations, SEBI (ICDR) Regulations, SEBI Portfolio Managers Regulations, SEBI Broker Regulations with respect to IPO, Public Issue, Right Issue, Bonus Issue, Preferential Allotment, QIP, etc.
Assisting in obtaining various regulatory approvals from SEBI/ BSE/ NSE.
Assisting in delisting of companies from Stock Exchanges under SEBI (Delisting of Equity Shares) Regulations.
Assisting in compliance with various Listing Clauses under the Listing Agreement.
Quarterly/Half-Yearly/Yearly Compliance for ensuring Listing/SEBI compliant.

Conclusion

Listed companies in India are mandated to stay in line with SEBI compliance, or else penalties would be levied in case of default. SEBI compliance for listed companies govern broad aspects of the company, starting from disclosing the standalone result of financial performance to the facilitation of annual audited financial results to the declaration of New Share Transfer Agent. That is the detailed briefing on the SEBI compliance for listed company. Let us know if you seek more clarification on the same.

SECURITIES LAW ADVISORY

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