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