SECURITIES MANAGEMENT AND COMPLIANCES - PowerPoint PPT Presentation

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SECURITIES MANAGEMENT AND COMPLIANCES
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SECURITIES MANAGEMENT AND COMPLIANCES

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  1. SECURITIES MANAGEMENT AND COMPLIANCES

  2. SECURITIES MANAGEMENT AND COMPLIANCES Compliance of issuer Company in relation to Securities Related Laws and Capital Market SCRA SEBI Depositories Act Other Laws Issue Management Foreign Issue Management Indian Issue Management Compliances of Rules and Regulations Inspection and Investigation Securities Appellate Tribunal (SAT) Demat Procedures Corporate Action Securities Reconciliation Certificate Companies Act FEMA Stamp Act Information Technology Act Income-Tax Act Competition Act

  3. INDIAN ISSUE MANAGEMENT Compliance of Listing Agreement Equity offload By Company By Intermediaries Issue Management Listing Public Issue Right Issue Delisting Preferential Allotment Private Placement Corporate Governance EDIFAR Bonus Issue Insider Trading Unfair Trade Practices Due Diligence Buy Back of Securities Other Clauses 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

  4. 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 Due Diligence Approvals Required Principal Documentation By Companies By Inter- mediaries Appointment of Agencies Pre & Post Launch Additional Key Action Procedure and Management Compliances of Basic Conditions of Listing Disclosure Requirements and Continuing Obligations

  5. COMPLIANCES UNDER SEBI ACT, RULES AND REGULATIONS Open Offer Exemption Compliances Securities Appellate Tribunal Compliance of Rules and Regulations Prohibition of Unfair Trade Practices Inspection and Investigation Buy-back of Securities Insider Trading Takeover Code ESOPs and ESOS Buy-back through open market Buy-back through Book Building Buy-back through Tender Offer Model Code of Conduct Continuing Disclosures Efficacy and Adequacy of Security of Files and documents Maintenance of records and documents

  6. COMPANIES ACT Provisions To Issue of Shares or Debentures Provisions Relating to Debentures Provisions Relating to Transfer of Shares & Debentures Compliances under Companies (Isue of Share Certificates) Rules, 1960 Debentures with voting rights Debenture Trust Deed Prospectus Subscription and Allotment Transfer of Shares and Debentures (Section 108, 108A to 108I, 109, 110, 112) Transmission of shares (109B) Refusal of Registration of Transfer Issue and Effect of Share Warrants to Bearer Return on Allotment Buy-back of shares Appointment of Debenture Trustees Inspection of Trust Deed Issue of Shares at Discount Further Issue of Capital Creation of Security and Debenture Redemption Reserve Issue of Sweat Equity Shares

  7. FEMA FEM (Transfer or Issue of Security by a Person Resident Outside India) Regulations 2,000 Compliances of Regulations in case of Issue of Shares by International Offering through ADR / GDR Approvals of SIA/FIPB Filing of Forms and Reports and Quarterly Reports Compliance of Terms and Conditions of Approval