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
Certificate

Companies Information
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

Preferential Private
Corporate
Allotment Placement EDIFAR
Governance

Bonus Issue Equity offload Unfair 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
Transfer
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
Pre & Post Launch
Appointment of Requirements By Inter-
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 Unfair 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 Offer Exemption
market Building

Buy-back
through Tender Compliances
Offer

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 Deed (Section 108, 108A to of shares
and Allotment
rights 108I, 109, 110, 112) (109B)

Refusal 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
Transfer

Issue of Creation of Security

Further Issue
Shares at and Debenture
of Capital Redemption Reserve
Discount

Issue of
Sweat Equity
Shares
 FEMA

FEM (Transfer or Issue of Security by a Person Resident Outside India) Regulations 2,000

Compliances of
Approvals of Regulations in case 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