SEBI Compliance

Expert Guidance for Securities Market Regulations

The Securities and Exchange Board of India (SEBI) regulates India’s capital markets with stringent rules designed to protect investors and ensure fair, transparent trading. Whether you’re a listed company, mutual fund, stock broker, or investment advisor, SEBI compliance is fundamental to maintaining your market operations and protecting investor interests.

At Rajesh Jalan & Associates, we provide comprehensive SEBI compliance services that help you navigate complex securities regulations with confidence. Our experienced team ensures your organization adheres to all SEBI directives, disclosure requirements, and corporate governance standards—while building stakeholder trust.

Who Needs SEBI Compliance?

  • Listed Companies – Companies listed on NSE, BSE, and other stock exchanges
  • Mutual Funds – Asset management companies and fund houses
  • Stock Brokers & Broking Firms – Trading members of stock exchanges
  • Depository Participants (DPs) – Custodians of securities and shares
  • Merchant Bankers – Companies undertaking IPOs and corporate restructuring
  • Investment Advisors – Registered investment advisory firms
  • Credit Rating Agencies – Companies rating debt instruments
  • Portfolio Managers – Portfolio management service providers
  • Real Estate Investment Trusts (REITs) – Real estate fund operators
  • Infrastructure Investment Trusts (InvITs) – Infrastructure fund operators
  • Alternate Investment Funds (AIFs) – Private equity and hedge funds

Our SEBI Compliance Services

Continuous Disclosure Requirements

We ensure timely disclosure of material information to the stock exchange and investors:

  • Material Events & Information (MEI): Filing announcements for board decisions, results, acquisitions, and regulatory actions
  • Schedule of Disclosure: Maintaining a disclosure calendar to meet all deadlines
  • Investor Updates: Preparing quarterly results announcements and annual reports
  • Corporate Actions: Announcing dividend declarations, bonus issues, stock splits, and rights offerings
  • Regulatory Filings: Submitting disclosures through BSE/NSE portals within prescribed timeframes

Corporate Governance Compliance

Listed companies must adhere to stringent governance standards under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015:

  • Board Composition: Ensuring independent directors, audit committee, and nomination & remuneration committee
  • Director Appointment & Disclosure: Filing DIN details, managing director rotation, and fit & proper criteria
  • Board Meeting Compliance: Maintaining minimum meeting frequencies and proper documentation
  • Related Party Transactions (RPT): Identifying, approving, and disclosing RPTs per SEBI regulations
  • Executive Compensation: Ensuring compliance with limits on director remuneration
  • Whistleblower Policy: Implementing and reporting on whistleblower mechanisms

Financial Reporting & Auditor Requirements

  • Quarterly Results Filing: Submitting audited/unaudited financial results within 45 days of quarter-end
  • Annual Report Preparation: Ensuring SEBI-compliant annual reports with required disclosures
  • Auditor Rotation & Independence: Complying with auditor tenure limits and independence criteria
  • Internal Auditor Reporting: Quarterly internal audit reports and management discussion & analysis
  • Segment Reporting: Disclosure of business segments as per accounting standards

Shareholder Communication & Meetings

  • Annual General Meetings (AGM): Coordinating AGM proceedings and e-voting mechanisms
  • Extraordinary General Meetings (EGM): Managing EGMs for shareholder approvals on major decisions
  • Shareholder Information Portal: Maintaining updated shareholder databases and communication channels
  • Dividend & Corporate Action Processing: Managing dividend payments and corporate actions in compliance with SEBI norms
  • Notice & Agenda Circulation: Preparing and disseminating meeting notices within prescribed timelines

Insider Trading Prevention (Code of Conduct)

  • Insider Trading Policy: Drafting comprehensive insider trading prevention policies
  • Restricted Period Management: Identifying restricted periods and managing trading windows
  • Disclosures by Insiders: Monitoring and filing quarterly disclosures of insider holdings (Form D)
  • Trading Approval System: Implementing approval mechanisms for trades by designated persons
  • Audit Trail & Monitoring: Maintaining records of all insider trading decisions and disclosures

Listing & De-listing Compliance

  • IPO Compliance: Assistance with public issue documentation and listing requirements
  • Listing Agreements: Ensuring ongoing compliance with stock exchange listing agreements
  • De-listing Procedures: Managing de-listing applications if applicable
  • Listing Fee Management: Coordinating with stock exchanges for fee compliance

Merchant Banker & Issue Management Services

For companies undertaking capital market activities:

  • IPO Documentation: Drafting offer documents, prospectus, and due diligence reports
  • Rights Issue & Bonus Issue: Managing regulatory approvals and investor communications
  • Preferential Allotment: Ensuring compliance with preferential issue norms
  • Scheme of Arrangement: Supporting mergers, demergers, and restructuring with SEBI approval

Mutual Fund & Asset Management Compliance

For AMCs and fund managers:

  • Fund Registration & Launch: Assisting with SEBI approval for new fund schemes
  • Continuous Compliance: Monitoring asset allocation, portfolio churning, and expense ratios
  • Valuation & NAV Reporting: Ensuring proper valuation methodologies and timely NAV declarations
  • Investor Communication: Managing factsheets, annual reports, and scheme documents
  • Performance Disclosure: Complying with SEBI’s standardized performance reporting guidelines

Broker & DP Compliance

  • Broker Registration: Support for obtaining SEBI registration as a stock broker
  • Client Onboarding (KYC): Implementing SEBI’s Know Your Client norms
  • Segregation of Funds: Ensuring proper segregation of client and broker funds
  • Trade Reporting & Settlement: Compliance with exchange settlement procedures
  • Investor Protection Fund (IPF): Managing contributions and claims

Risk Management & Internal Controls

  • Risk Management Framework: Designing SEBI-compliant risk management systems
  • Internal Control Assessment: Evaluating control effectiveness and recommending improvements
  • Cybersecurity & Data Protection: Ensuring compliance with SEBI’s cybersecurity directives
  • Disaster Recovery & Business Continuity: Planning for operational resilience

Key SEBI Regulations We Navigate

  • SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 – Core compliance for listed companies
  • SEBI (Prohibition of Insider Trading) Regulations, 2015 – Prevention of insider trading
  • SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 – M&A and takeover norms
  • SEBI (Issue and Listing of Non-Convertible Securities) Regulations, 2021 – Debt issuance compliance
  • SEBI (Mutual Funds) Regulations, 1996 – Asset management compliance
  • SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992 – Broker compliance
  • SEBI (Investment Advisers) Regulations, 2013 – Investment advisory compliance
  • SEBI (Alternative Investment Funds) Regulations, 2012 – Private equity and hedge fund compliance

Compliance Calendar for Listed Companies

Compliance Activity
Frequency
Due Date
Board Meetings
Quarterly minimum
Within 30 days of quarter-end
Quarterly Results
Quarterly
Within 45 days of quarter-end
Insider Trading Disclosures (Form D)
Quarterly
Within 2 days of transaction or quarter-end
Annual Report
Annual
Within 21 days of AGM
Auditor Tenure Review
Annual
Review at each AGM
AGM
Annual
Within 6 months of financial year-end
Dividend Payment
As declared
Within 30 days of board approval
Corporate Governance Report
Annual
Within 21 days of AGM

Why SEBI Compliance Matters

Risk
Consequence of Non-Compliance
Stock Suspension
Trading halt on stock exchanges
SEBI Notices
Show-cause and penalty notices
Monetary Penalties
Fines up to ₹25 Crore or more
Director Disqualification
Barring from board positions
Criminal Prosecution
Jail terms for severe violations
Reputational Damage
Loss of investor and market confidence
Delisting
Removal from stock exchange listing

Our SEBI Compliance Process

  • Compliance Audit: Reviewing current practices against SEBI requirements
  • Gap Identification: Identifying missing policies, procedures, or disclosures
  • Documentation & Policy Drafting: Creating SEBI-compliant frameworks and policies
  • Implementation Support: Training teams and rolling out new compliance systems
  • Ongoing Monitoring: Regular reviews and updates based on SEBI circulars
  • Disclosure Management: Preparing and filing all required reports on schedule

Why Choose Rajesh Jalan & Associates?

  • SEBI Compliance Experts: Deep understanding of securities regulations and market practices
  • Listed Company Experience: Proven track record with NSE and BSE-listed entities
  • Proactive Monitoring: We track SEBI circulars and keep you informed of changes
  • Timely Filings: 100% on-time compliance record with stock exchanges
  • Corporate Governance Focus: We help build investor confidence through strong governance
  • Confidential & Professional: Your sensitive disclosures are handled with utmost care
  • ICAI Registered: All professionals are members of the Institute of Chartered Accountants of India

Our Expertise Across Sectors

  • Information Technology: Compliance for IT services and software companies
  • Financial Services: Banks, NBFCs, and insurance companies
  • Real Estate: REITs and property development companies
  • Manufacturing & Pharma: Industrial and pharmaceutical listed entities
  • Consumer & Retail: FMCG and retail sector compliance
  • Infrastructure & Energy: Utility and energy sector companies

Get Seamless SEBI Compliance

Don't let regulatory complexities distract you from business growth. Partner with us for comprehensive SEBI compliance.

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Supporting listed companies and securities market participants with expert SEBI compliance since 2007 — ensuring transparency, trust, and regulatory excellence.