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SECURITIES MANAGEMENT AND COMPLIANCES. SCRASEBI Depositories Act Other Laws Issue Management Foreign Issue Management Indian Issue Management Compliances.

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Presentation on theme: "SECURITIES MANAGEMENT AND COMPLIANCES. SCRASEBI Depositories Act Other Laws Issue Management Foreign Issue Management Indian Issue Management Compliances."— Presentation transcript:

1 SECURITIES MANAGEMENT AND COMPLIANCES

2 SCRASEBI 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 FEMAStamp Act Information Technology Act Income-Tax ActCompetition ActCompliance of issuer Company in relation to Securities Related Laws and Capital Market

3 Issue Management Listing Public Issue Private Placement Preferential Allotment Insider Trading Bonus Issue Unfair Trade Practices Buy Back of Securities Corporate Governance EDIFAR Due Diligence Eligibility Norms Bankers to an Issue Pricing of Securities Depositories and Participants Appointment of Intermediaries Registrar to an Issue and Contents of Prospectus Share Transfer Agents Post Issue Obligations Debenture Trustees Compliance of various Rules and Regulations Custodian Compliance of Listing Agreement Equity offloadBy Company By Intermediaries Delisting Right Issue Other Clauses INDIAN ISSUE MANAGEMENT

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

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

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

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


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