Law Flow Charts

SECURITIES MANAGEMENT AND COMPLIANCES

SECURITIES MANAGEMENT AND COMPLIANCES Compliance of issuer Company in relation to Securities Related Laws and Capital Market

SCRA

Compliances of Rules and Regulations

Issue Management

Indian Issue Management

Depositories Act

SEBI

Foreign Issue Management

Inspection and Investigation

Securities Appellate Tribunal (SAT)

Demat Procedures

Companies Act

FEMA

Other Laws

Stamp Act

Corporate Action

Information Technology Act

Securities Reconciliation Certificate

Income-Tax Act

Competition Act

INDIAN ISSUE MANAGEMENT

Issue Management

Listing

Public Issue

Right Issue

Preferential Allotment

Private Placement

Bonus Issue

Equity offload

Compliance of Listing Agreement Corporate Governance

EDIFAR

Insider Trading

Unfair Trade Practices

Buy Back of Securities

Other Clauses

Due Diligence

By Intermediaries

By Company

Delisting

Eligibility Norms

Pricing of Securities

Bankers to an Issue

Depositories and Participants

Appointment of Intermediaries

Contents of Prospectus

Registrar to an Issue and

Share Transfer Agents

Post Issue Obligations

Compliance of various Rules and Regulations

Custodian

Debenture Trustees

FOREIGN ISSUE MANAGEMENT Compliance of issuer Company in relation to issue of Securities in Foreign Countries

Issue Management (ADR/GDR)

Listing in Foreign Stock Exchanges

Approvals Required

Principal Documentation

Appointment of Agencies

Pre & Post Launch Additional Key Action

Due Diligence

Compliances of Basic Conditions of Listing

Procedure and Management Disclosure Requirements and Continuing Obligations

By Companies

By Intermediaries

COMPLIANCES UNDER SEBI ACT, RULES AND REGULATIONS

Compliance of Rules and Regulations

Prohibition of Unfair Trade Practices

Buy-back of Securities

Buy-back through open market

Insider Trading

Buy-back through Book Building

Securities Appellate Tribunal

Inspection and Investigation

Takeover Code

Open Offer

Buy-back through Tender Offer

Exemption

Compliances

Model Code of Conduct

Continuing Disclosures

Efficacy and Adequacy of Security of Files and documents

Maintenance of records and documents

ESOPs and ESOS

COMPANIES ACT

Provisions Relating to Debentures

Provisions To Issue of Shares or Debentures

Prospectus

Subscription and Allotment

Debentures with voting rights

Return on Allotment

Buy-back of shares

Appointment of Debenture Trustees

Issue of Shares at Discount

Further Issue of Capital Issue of Sweat Equity Shares

Provisions Relating to Transfer of Shares & Debentures

Debenture Trust Deed

Transfer of Shares and Debentures (Section 108, 108A to 108I, 109, 110, 112)

Transmission of shares (109B)

Inspection of Trust Deed

Refusal of Registration of Transfer

Issue and Effect of Share Warrants to Bearer

Creation of Security and Debenture Redemption Reserve

Compliances under Companies (Isue of Share Certificates) Rules, 1960

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

Approvals of SIA/FIPB

Compliances of Regulations in case of Issue of Shares by International Offering through ADR / GDR

Filing of Forms and Reports and Quarterly Reports

Compliance of Terms and Conditions of Approval