Capital Market Advisory & Compliances

  • Listing, Delisting, Revocation & Suspension
  • Stock Exchange Application & Approvals
  • Drafting of prospectus /Offer for sale/ letter of offer/other documents related to issue of securities and obtaining approvals along with lead managers.
  • Assistance in pre and post issue listing formalities of Securities.
  • Assistance in compliances pertaining to Listing Agreement, SEBI Rules and Regulations etc.
  • Registration of all market intermediaries with SEBI / FMC.
  • Internal Audit of operations function of Brokers, Depository Participants, etc.
  • On going advisory services for all market intermediaries.
  • Drafting / review of manuals, policies and processes.
  • Review of / developing compliance monitoring plan
  • Designing customised compliance program according to the need of the organisation
  • Conducting periodic compliance health check up to evaluate efficiency of compliance system
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