1. SECURITIES
MANAGEMENT AND
COMPLIANCES

2. SECURITIES MANAGEMENT AND COMPLIANCES
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
Compliance 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 offload
By Company
By
Intermediaries
DelistingRight 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 Offer Exemption
Compliances

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