Every Company is required to undertake compalinaces with the Companies Act and various rules and regulation framed thereunder, SEBI Rules and regulation etc. Any inadvertent non compliance results in show cause notice to the Company and its Directors. We offer our services so that the Management of the Company can strengthen its position to focus on its core competencies instead of locking up its resources for non core activities such as doing compliances under various enactments.
1. Compliance under the Companies Act, 2013:
- Alteration of Memorandum and Articles of Association
- Change in name and object of the Company
- Increase and issue of share capital
- Appointment/ reappointment/ change in designation of director/ managing director/executive director
- Reclassification of share capital and Stock Split/ consolidation of shares
- Declaration and distribution of dividend
- Preparation, certification and filing of various returns with the Registrar of Companies
- Compliances in respect of Shifting of Registered Office of a Company
- Compounding of Offences
- Various applications for exemptions/condonation etc under different section of the Act to the Department of Company Affairs, Company Law Board
- Representation to various Government departments
- Conducting postal ballots and e votining
- Act as a scrutinizers
2. Compliance under Limited Liability Partnership (LLP) Act, 2008:
- Appointment and changes in designated partners
- Change in Name of LLP
- Amendment in LLP Agreement
- Registration in changes in Partners
- Filing of Statement of Account and Solvency and with the ROC
- Preparation and filing of Annual Return
3. Compliances under SEBI Rules and Regulations:
- Drafting of explanatory statement to the notice of the preferential allotment as per SEBI (ICDR) guidelines.
- Framing a code for prevention of insider trading and monitoring its compliances under SEBI (Prohibition of Insider Trading) Regulations, 2015
- Compliances with SEBI (Acquisition and Takeover) regulation, 2011
- Co-ordinating with Merchant Bankers for managing open offer under Takeover Code.
- Framing of ESOP schemes and monitor its compliances as per SEBI(Employees Services) Guidelines, 1999.
- Attending SEBI queries for investor grievance and liason with Registrar and Transfer Agent.
- Delisting of shares from the stock Exchanges
- Drafting of compounding applications and obtain consent order from SEBI.
4. Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015:
- Intimation of Board Meetings/ General Meetings to Stock Exchanges and its publication in newspapers
- Preparing and filing of shareholding pattern, Corporate Governance Report, Audited/ Unaudited financial results
- Preparation and certification of Secretarial Audit Report
- Intimation of Book Closure dates/ Record Date to Stock Exchanges and its publication in newspapers
- Preparation of Corporate Governance Report forming part of Annual Report and its certification.
- Obtaining in-principal approvals from Stock Exchanges for ESOP Scheme, Bonus issues, Preferential Allotment, Reduction of Capital, Scheme of Arrangement/ Merger.
- Preparing Listing Application for additional securities and obtaining trading approvals.
- Drafting various policies like policy for preservation of old records, policy for determining material subsidiary, Policy on materiality of Related Parties Transactions etc.