Corporate Compliance | Governance | Regulatory Advisory
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Scope
SEBI regulations and listing norms
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Delivery
Periodic filings and advisory
H Khandelwal & Associates | Practice Area 03 of 13
SEBI, Securities Laws & Listing Compliances
Listed entities and companies accessing capital markets are required to comply with a dynamic regulatory environment. We provide advisory and compliance support under various SEBI regulations and securities laws.
Our services are designed to help listed companies, intermediaries, and market participants maintain regulatory compliance while adopting sound governance practices.
Our services include:
- SEBI Listing Regulations Compliance
- Insider Trading Compliance
- Shareholding Pattern Filings
- Corporate Governance Compliance
- Annual & Periodic Filings
- Secretarial Compliance Report
- Investor Grievance Compliance
- Advisory on Securities Laws
FREQUENTLY ASKED
Questions about SEBI, Securities Laws & Listing Compliances
Common questions we are asked on this practice area. If yours is not covered here, get in touch and we will answer it directly.
Listed entities carry continuous obligations under the SEBI Listing Regulations: periodic and event-based disclosures to the stock exchanges, quarterly shareholding pattern and corporate governance filings, financial results, an insider trading code with a structured digital database, and investor grievance handling. We map the full calendar to your listing and run it with you.
You need a code of conduct and a code of fair disclosure, a designated compliance officer, identification of designated persons and their connected persons, trading window closures around unpublished price sensitive information, pre-clearance and disclosure of trades, and a structured digital database of UPSI sharing. We draft the codes and operate the process alongside your team.
Yes. We assess what has been asked, establish the underlying position from your records, and prepare the response together with any corrective filing or disclosure required. Where the query points to a wider gap, we set out what needs fixing so the same issue does not recur.
Yes. We work on pre-listing readiness — the governance structure and board composition, constitutional documents, corporate records and historical filings, and the policies and processes a listed entity is expected to have in place from day one.
