SEBI & Listing Compliance – ASK Advisory & Co.

SEBI & Listing Compliance Services

We assist listed companies in complying with SEBI’s Listing Obligations and Disclosure Requirements (LODR). Our Services:

Ensuring timely filing of quarterly, half-yearly, and annual disclosures.
Drafting and submitting corporate governance reports.
Assisting in compliance with related party transaction disclosure norms.
Handling event-based disclosures, such as mergers, acquisitions, and changes in shareholding.
Advising on compliance with stock exchange listing agreements.

We help companies navigate the IPO process and ensure a smooth transition to a listed entity.

Our Services:

Assisting in IPO documentation, including DRHP (Draft Red Herring Prospectus) and RHP (Red Herring Prospectus).
Coordinating with SEBI, stock exchanges, and regulatory authorities.
Ensuring compliance with pre- and post-listing requirements.
Advising on book-building, pricing, and allocation strategies.
Managing investor relations and regulatory reporting post-listing.

We assist companies in structuring capital restructuring transactions while complying with SEBI norms. Our Services:

Advising on voluntary and mandatory delisting procedures.
Ensuring compliance with SEBI (Delisting of Equity Shares) Regulations.
Assisting in share buyback processes, including regulatory approvals and disclosures.
Managing preferential allotment and rights issue compliance.
Filing necessary reports with stock exchanges and SEBI.

We help companies implement strong internal controls to prevent insider trading. Our Services:

Drafting and implementing Insider Trading Policies (PIT Regulations).
Assisting in compliance with SEBI’s Prohibition of Insider Trading (PIT) Regulations.
Monitoring and reporting insider transactions to regulatory authorities.
Conducting training sessions on insider trading laws for directors and employees.
Filing disclosures and maintaining records related to trading restrictions.

We assist businesses in ensuring compliance with SEBI’s Substantial Acquisition of Shares and Takeover (SAST) Regulations. Our Services:

Advising on open offer requirements and takeover rules.
Ensuring compliance with disclosure norms for acquisitions and mergers.
Assisting in SEBI approval processes for takeovers and restructuring.
Managing compliance with shareholding limits and public announcement obligations.
Drafting takeover-related regulatory filings and disclosures.

We help small and medium enterprises (SMEs) list on stock exchanges while ensuring regulatory compliance. Our Services:

Assisting SMEs in listing on BSE, SME and NSE Emerge platforms.
Preparing offer documents and meeting listing eligibility criteria.
Ensuring post-listing compliance with stock exchanges.
Advising on SME fundraising strategies, including rights issues and preferential allotments.
Managing investor relations and disclosure obligations for SMEs.