SEBI Compliance & Regulatory Services
Listed Company Compliance | Stock Exchange Regulations | Corporate Governance
Navigate complex SEBI regulations and stock exchange compliance requirements with our comprehensive regulatory services for listed companies in India. As experienced Company Secretaries and compliance professionals, we handle all aspects of SEBI compliance including mandatory filings, insider trading policies, board governance, disclosure requirements, and secretarial audits. Whether you're a newly listed company or an established public entity, our expert team ensures full regulatory compliance while minimizing compliance costs and operational disruptions across NSE, BSE, and other recognized stock exchanges.
Listed companies in India operate under stringent SEBI regulations and stock exchange requirements that demand continuous compliance monitoring and timely submissions. Our specialized compliance team provides end-to-end regulatory services including quarterly compliance reports, annual filings, board meeting compliance, shareholder communication, and regulatory liaison. With deep expertise in SEBI (LODR) Regulations 2015, Companies Act 2013, and stock exchange listing agreements, we help listed companies maintain good standing with regulators while focusing on business growth and stakeholder value creation.
- Complete SEBI compliance management including all mandatory filings and disclosure requirements
- Robust insider trading policies and procedures ensuring regulatory compliance and risk mitigation
- Comprehensive secretarial audits identifying compliance gaps and providing actionable recommendations
- Expert corporate governance advisory ensuring board effectiveness and stakeholder protection
Why Choose SEBI Compliance & Regulatory Services?
Listed companies face complex and evolving regulatory landscape with SEBI continuously updating regulations to enhance corporate governance and investor protection. Non-compliance can result in hefty penalties, regulatory action, delisting threats, and severe reputational damage. Our specialized compliance team understands the intricacies of SEBI regulations, stock exchange requirements, and corporate governance best practices. We provide proactive compliance management that not only ensures regulatory adherence but also enhances corporate governance standards, improves investor confidence, and supports sustainable business growth in capital markets.
Qualified Company Secretaries
Team of practicing Company Secretaries with specialized expertise in SEBI regulations, stock exchange compliance, and corporate governance. Our professionals hold ACS qualification with 15+ years of experience serving listed companies across various sectors including banking, pharmaceuticals, IT, manufacturing, and infrastructure with deep understanding of sector-specific compliance requirements.
Comprehensive Compliance Calendar
Detailed compliance calendar covering all SEBI, stock exchange, and statutory deadlines ensuring no filing is missed. We maintain sector-specific compliance calendars, provide advance reminders, and coordinate with various departments to ensure timely submission of all mandatory filings, disclosures, and regulatory submissions throughout the financial year.
Regulatory Update & Advisory
Regular updates on changing SEBI regulations, stock exchange circulars, and compliance requirements with impact analysis and implementation guidance. We provide quarterly regulatory briefings, compliance newsletters, and immediate alerts on critical regulatory changes affecting listed companies with actionable recommendations for compliance.
Automated Compliance Monitoring
Technology-enabled compliance monitoring system tracking all regulatory obligations, filing status, and compliance metrics. Our proprietary compliance dashboard provides real-time visibility into compliance status, pending actions, and regulatory risks enabling proactive compliance management and audit trail maintenance.
Regulatory Liaison & Representation
Professional representation before SEBI, stock exchanges, and other regulatory authorities for clarifications, exemptions, and compliance matters. We handle regulatory correspondence, attend regulatory meetings, and provide advocacy services ensuring effective communication with regulators and resolution of compliance issues.
Board & Committee Support
Complete secretarial support for board meetings, committee meetings, and shareholder meetings ensuring compliance with governance requirements. We provide agenda preparation, resolution drafting, minute recording, and follow-up on board decisions while ensuring adherence to SEBI governance norms and best practices.
Comprehensive Compliance Services Scope
Our SEBI compliance and regulatory services cover all aspects of listed company obligations from routine filings to complex regulatory matters, ensuring complete compliance with SEBI (LODR) Regulations, Companies Act, and stock exchange requirements.
Mandatory Filings & Disclosures
- Quarterly financial results filing with stock exchanges including standalone and consolidated results
- Annual reports preparation including board report, management discussion, corporate governance report
- Material event disclosures under Regulation 30 including board meetings, price sensitive information
- Shareholding pattern filing quarterly with detailed promoter and public shareholding analysis
- Corporate governance compliance reports and annual compliance certificates submission
- Related party transaction disclosures and approvals under SEBI LODR regulations
Insider Trading Compliance
- Insider trading policy formulation and implementation as per SEBI PIT Regulations 2015
- Trading window management and closure notifications to designated persons and employees
- Pre-clearance procedures for trades by designated persons and their immediate relatives
- Structured Digital Database maintenance of unpublished price sensitive information access
- Periodic compliance reports on insider trading compliance and violation monitoring
- Training programs for employees and directors on insider trading regulations and compliance
Secretarial Audit & Compliance Review
- Annual secretarial audit as per Section 204 of Companies Act covering all compliance areas
- SEBI compliance audit focusing on LODR regulations, governance norms, and disclosure requirements
- Board process evaluation and corporate governance effectiveness assessment
- Compliance gap analysis identifying non-compliance areas and remedial action plans
- Internal control assessment for compliance processes and regulatory risk management
- Quarterly compliance reports for audit committee and board review with compliance metrics
Corporate Governance & Board Support
- Board composition optimization ensuring independence requirements and skill matrix compliance
- Committee constitution and functioning including audit, nomination, and risk management committees
- Director appointment process including due diligence, regulatory approvals, and disclosure requirements
- Board evaluation process design and implementation for board, committees, and individual directors
- Policy framework development for corporate governance, risk management, and business conduct
- Shareholder meeting management including AGM, EGM, and postal ballot process coordination
Step-by-Step Compliance Management Process
Compliance Assessment & Gap Analysis
Comprehensive review of current compliance status against SEBI LODR regulations, stock exchange requirements, and Companies Act provisions. We evaluate existing compliance processes, identify gaps, assess regulatory risks, and develop a detailed compliance improvement roadmap with prioritized action items and timelines.
Compliance Calendar Development
Creation of detailed compliance calendar covering all SEBI filings, stock exchange submissions, statutory deadlines, and governance requirements. We customize the calendar based on your business activities, board meeting schedule, and sector-specific requirements with automated reminders and escalation procedures.
Policy & Procedure Framework
Development of comprehensive compliance policies including insider trading policy, related party transaction policy, code of conduct, and other governance policies. We ensure policies are practical, legally compliant, and aligned with your business operations while meeting all regulatory requirements.
Compliance System Implementation
Implementation of compliance monitoring systems and processes including document management, filing tracking, and regulatory update dissemination. We establish workflows, assign responsibilities, and create audit trails to ensure systematic compliance management and accountability.
Training & Awareness Programs
Comprehensive training programs for board members, senior management, and employees on SEBI regulations, corporate governance, and compliance requirements. We conduct regular training sessions, workshops, and awareness programs to build compliance culture and ensure sustained adherence.
Ongoing Filing & Disclosure Management
Regular management of all mandatory filings and disclosures including quarterly results, shareholding patterns, material events, and governance reports. We coordinate with various departments, review submissions for accuracy, and ensure timely filing with stock exchanges and regulators.
Periodic Compliance Review & Audit
Regular compliance audits and reviews to assess adherence to policies, identify emerging risks, and ensure continuous improvement. We conduct quarterly compliance reviews, annual secretarial audits, and special compliance assessments as required by regulatory changes or business developments.
Regulatory Update & Advisory
Continuous monitoring of regulatory changes and providing impact analysis with implementation guidance. We track SEBI circulars, stock exchange notifications, and regulatory developments providing timely updates and advice on compliance implications for your business.
Compliance Metrics & Reporting
Regular compliance reporting to board and management with key metrics, compliance status, and risk indicators. We provide monthly compliance dashboards, quarterly compliance reports, and annual compliance assessment with trends analysis and improvement recommendations.
Continuous Support & Advisory
Ongoing compliance support including regulatory queries resolution, compliance advisory, and representation before regulators. We provide dedicated compliance support ensuring your team has expert guidance for all regulatory matters and compliance challenges throughout the year.
Documents Required for Compliance Services
Corporate Information
- Certificate of Incorporation: Original certificate of incorporation and certificate of commencement of business
- Memorandum & Articles: Current memorandum and articles of association with all amendments
- Listing Agreement: Listing agreements with NSE, BSE, and other stock exchanges where securities are listed
- Share Certificates: Share certificates, demat records, and shareholding pattern details
- Board Resolutions: All board resolutions, committee resolutions, and shareholder resolutions
- Statutory Registers: Register of members, register of directors, register of charges, and other statutory registers
Compliance Documentation
- Previous Compliance Reports: Last three years compliance reports, secretarial audit reports, and regulatory correspondence
- Financial Statements: Audited financial statements, quarterly results, and annual reports
- Regulatory Filings: Copies of all SEBI filings, stock exchange submissions, and ROC filings
- Policy Documents: Existing policies including insider trading, related party transactions, and governance policies
- Committee Minutes: Minutes of audit committee, nomination committee, and other board committee meetings
- Compliance Certificates: Annual compliance certificates, practicing company secretary certificates, and regulatory clearances
Director & Personnel Information
- Director Details: Complete information of all directors including DIN, addresses, and board positions in other companies
- KMP Information: Details of key managerial personnel including appointment letters and service agreements
- Designated Person List: List of designated persons for insider trading compliance with contact details
- Committee Composition: Composition of board committees with member details and meeting schedules
- Employee Database: Employee information for compliance training and insider trading policy coverage
- Shareholding Details: Promoter and promoter group shareholding details with family member information
Financial & Operational Records
- Related Party Transactions: Details of all related party transactions with contracts and approval documents
- Material Contracts: All material agreements, joint venture agreements, and significant contracts
- Loan Documentation: Details of borrowings, guarantees, and security documents
- Investment Records: Investment portfolio, subsidiary information, and associate company details
- Business Operations: Business segment information, geographical presence, and operational details
- Risk Assessment: Enterprise risk management framework and risk assessment reports
Why Choose Lawful Journey?
Experienced Company Secretaries
Team of practicing Company Secretaries (ACS) with 15+ years of specialized experience in SEBI compliance, stock exchange regulations, and corporate governance for listed companies. We have successfully managed compliance for 200+ listed companies across various sectors including banking, IT, pharmaceuticals, manufacturing, and infrastructure with comprehensive understanding of regulatory requirements.
Zero Compliance Failures
Proven track record of zero compliance failures with robust compliance monitoring systems and proactive management approach. Our systematic compliance calendar, automated alerts, and multi-level review processes ensure all filings are submitted on time with complete accuracy, maintaining perfect compliance record for all our clients.
Timely Compliance Support
Dedicated compliance support during business hours for regulatory matters, filing deadlines, and compliance queries. Our experienced team provides prompt assistance for regulatory clarifications, filing preparations, and compliance challenges ensuring your company meets all deadlines with expert guidance and professional support.
Comprehensive Legal Expertise
Deep understanding of SEBI regulations, Companies Act provisions, and stock exchange requirements with practical implementation experience. Our team stays updated with latest regulatory changes and provides expert interpretation of complex legal requirements ensuring accurate compliance and risk mitigation for your business operations.
Cost-Effective Solutions
Competitive pricing structure with transparent fee arrangements ensuring cost-effective compliance management. We offer flexible engagement models including annual retainer, project-based, and hybrid arrangements allowing you to choose the most suitable option based on your compliance requirements and budget considerations.
Regulatory Advocacy & Representation
Professional representation before SEBI, stock exchanges, and other regulatory authorities for compliance matters, exemption applications, and regulatory clarifications. Our strong relationships with regulators and deep understanding of regulatory processes ensure effective advocacy and favorable outcomes for our clients.
Frequently Asked Questions
-
Key requirements include quarterly financial results filing, annual report submission, shareholding pattern disclosure, material event reporting under Regulation 30, corporate governance compliance, and insider trading policy implementation. Listed companies must also comply with related party transaction regulations, board composition norms, and various disclosure requirements under SEBI LODR Regulations 2015.
-
Listed companies have multiple filing frequencies - quarterly for financial results and shareholding patterns, half-yearly for compliance certificates, annually for annual reports and secretarial audit reports, and immediate disclosure for material events. Additionally, specific events like board meetings, dividend declarations, and material contracts require immediate disclosure to stock exchanges.
-
SEBI can impose monetary penalties ranging from ₹1 lakh to ₹25 crore depending on the violation severity. Additional consequences include suspension of trading, delisting threats, disgorgement of gains, and prohibition from capital markets. Non-compliance can also result in criminal prosecution and reputational damage affecting investor confidence and market valuation.
-
Yes, secretarial audit is mandatory for all listed companies under Section 204 of Companies Act 2013. The audit must be conducted by a practicing Company Secretary and the secretarial audit report must be annexed to the board report in the annual report. The audit covers compliance with various laws applicable to the company.
-
Insider trading policy prevents trading in company securities based on unpublished price sensitive information. All designated persons including directors, key managerial personnel, employees with access to UPSI, and their immediate relatives must comply. The policy includes trading window restrictions, pre-clearance requirements, and periodic disclosure obligations.
-
We maintain comprehensive compliance calendars with automated reminders, advance preparation schedules, and multi-level review processes. Our technology platform tracks all deadlines, sends escalation alerts, and provides real-time compliance status. We coordinate with internal teams well in advance to ensure all submissions are prepared and filed on time.
-
We provide complete secretarial support including agenda preparation, resolution drafting, meeting coordination, minute recording, and compliance with board composition requirements. We also assist with committee formation, director appointments, board evaluation processes, and ensure adherence to corporate governance norms and best practices.
-
We continuously monitor SEBI circulars, stock exchange notifications, and regulatory amendments providing immediate impact analysis and implementation guidance. Our clients receive quarterly regulatory updates, compliance newsletters, and immediate alerts on critical changes with specific action items and compliance implications for their business.
-
We offer flexible pricing models including annual retainer arrangements, project-based fees, and hybrid models based on specific requirements. Costs depend on company size, complexity of operations, number of filings, and level of support required. We provide transparent fee structure with no hidden charges and detailed cost breakdown during initial discussions.
-
Yes, we assist with various regulatory applications including exemption requests, waiver applications, scheme approvals, and other regulatory clearances. We prepare comprehensive applications, provide supporting documentation, coordinate with regulators, and represent clients during regulatory proceedings to ensure successful approvals and compliance outcomes.
Start Your Business Journey Today
Get a free consultation with a Lawful Journey expert. We’ll help you choose the right structure, explain the process, and get your company incorporated—fast, legally, and stress-free.
Call: +91 99102 18035 Email Our Team