Listed Companies Compliance & SEBI Advisory
SEBI (LODR) Regulations 2015 | Secretarial Audit (Form MR-3) | BSE / NSE Disclosures | Prohibition of Insider Trading (PIT)
Ensure uncompromising corporate governance, flawless stock exchange filings, and full SEBI regulatory compliance with senior Practicing Company Secretaries and securities lawyers. We manage the entire statutory compliance framework for Mainboard and SME-listed companies—including quarterly board disclosures, SEBI LODR compliance, Secretarial Audit in Form MR-3, and Insider Trading (PIT) monitoring.
Listed companies in India are governed by stringent regulatory frameworks enforced by the Securities and Exchange Board of India (SEBI) and Stock Exchanges (BSE/NSE). Non-compliance with SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 attracts heavy stock exchange fines, trading suspensions, and SEBI adjudication penalties.
- Comprehensive compliance with SEBI (LODR) Regulations 2015 and SEBI (PIT) Regulations 2015
- Mandatory Secretarial Audit in Form MR-3 and Annual Secretarial Compliance Report (ASCR)
- Quarterly & annual financial result dissemination, shareholding patterns, and corporate governance reports
- Structured Digital Database (SDD) compliance and trading window closure tracking
Why Choose Listed Companies Compliance & SEBI LODR Advisory?
Stock exchanges levy per-day financial penalties of ₹1,000 to ₹10,000+ for every delayed LODR filing, freeze promoter shareholding, and can suspend trading in the company's shares. Our CS team supports structured regulatory governance.
100% On-Time Stock Exchange Disclosures (BSE / NSE)
Ensure continuous compliance with Regulations 29, 30, 31, 33, 40, and 76 on BSE Listing Centre and NSE NEAPS portals.
Independent Secretarial Audit in Form MR-3
Deliver comprehensive, legally defensible Secretarial Audit Reports issued by Practicing Company Secretaries.
SEBI Prohibition of Insider Trading (PIT) Compliance
Implement Structured Digital Databases (SDD), trading window closure notices, and UPSI tracking.
Board & Committee Meeting Governance
Manage statutory constitution and meetings of Audit Committee, NRC, SRC, and Risk Management Committees.
Business Responsibility & Sustainability Reporting (BRSR)
Formulate ESG-aligned BRSR disclosures required for top 1,000 listed entities under Regulation 34.
Turnkey Secretarial Representation
Our senior Company Secretaries provide retained compliance officer support, investor grievance management, and AGM coordination.
Comprehensive Listed Companies Compliance & SEBI LODR Advisory Offerings
Our SEBI compliance advisory covers quarterly disclosures, secretarial audits, and corporate governance.
1. Periodic & Event-Based Stock Exchange Disclosures
- Regulation 33: Quarterly and annual financial results submission with Limited Review Reports within 45/60 days
- Regulation 30: Material event disclosures within 30 minutes / 12 hours / 24 hours of board decisions
- Regulation 31: Quarterly shareholding pattern filing in XBRL format within 21 days of quarter end
- Regulation 27(2): Quarterly Corporate Governance Report detailing board composition and committee meetings
2. Secretarial Audit & Compliance Reports
- Conducting comprehensive Secretarial Audit under Section 204 in Form MR-3 for listed entities and material subsidiaries
- Issuing Annual Secretarial Compliance Report (ASCR) by Practicing Company Secretary within 60 days of FY end
- Secretarial audit of compliance with Companies Act, SEBI Acts, SCRA, FEMA, and Depositories Act
- Reconciliation of Share Capital Audit Report under Regulation 76 on a quarterly basis
3. SEBI Insider Trading (PIT) & SDD Compliance
- Deployment and audit of Structured Digital Database (SDD) tracking Unpublished Price Sensitive Information (UPSI)
- Trading window closure intimations from end of quarter till 48 hours after financial results declaration
- Pre-clearance of trades, initial disclosures (Form A/B), and continual disclosures (Form C) for designated persons
- Formulation of Code of Conduct for Fair Disclosure and Code of Internal Procedures
4. Board Governance, AGM & Shareholder Relations
- Advising on optimum board composition (50% Independent Directors, Women Directors) per Regulation 17
- Annual Report compilation including Corporate Governance Report, Management Discussion & Analysis (MDA), and BRSR
- Managing remote e-voting, postal ballots, and video-conferencing Annual General Meetings (AGM)
- SCORES portal monitoring and investor grievance redressal within statutory deadlines
Step-by-Step Listed Companies Compliance & SEBI LODR Advisory Execution Process
Step 1: Governance & Compliance Gap Audit
Reviewing board composition, committee charters, SDD maintenance, and past stock exchange filing history.
Step 2: Quarterly Calendar & Disclosure Management
Executing quarterly financial result board meetings, drafting Limited Review Reports, and filing XBRL disclosures.
Step 3: Secretarial Audit & ASCR Formulation
Conducting comprehensive annual secretarial audit, verifying registers, and issuing Form MR-3 and ASCR.
Step 4: Annual Report, BRSR & AGM Execution
Compiling statutory Annual Report with BRSR metrics, coordinating e-voting, and managing live AGM proceedings.
Step 5: Stock Exchange Compliance Dissemination
Submitting all annual reports, voting results (Reg 44), and secretarial audit certificates to BSE/NSE.
Documents Required for Listed Companies Compliance & SEBI LODR Advisory
Corporate & Stock Exchange Dossier
- Listing Agreements: Executed Uniform Listing Agreements with BSE and NSE
- Approved Codes & Policies: Code of Conduct, Whistleblower Policy, Policy on Materiality, and RPT Policy
- Board & Committee Minutes: Signed minutes of Board, Audit Committee, NRC, SRC, and Risk Management Committee meetings
- Past Stock Exchange Filings: Challan proofs of filed Regulations 30, 31, 33, and 27(2) XBRL disclosures
Insider Trading & Governance Records
- Structured Digital Database (SDD) Logs: Time-stamped audit logs of UPSI sharing with non-disclosure undertakings
- Designated Persons List: Updated list of designated persons, immediate relatives, and their PAN/demat accounts
- Trading Window Notices: Official circulars intimating trading window closure to stock exchanges and staff
- Code of Conduct Disclosures: Form C continual disclosure forms and pre-clearance approvals for stock trades
Secretarial Audit & Verification Files
- Statutory Registers: Permanent electronic statutory registers maintained under Companies Act and SEBI rules
- RTA Reconciliation Reports: Quarterly share reconciliation certificates from Registrar & Share Transfer Agent (RTA)
- Annual Secretarial Compliance Report: Signed ASCR issued by Practicing Company Secretary
- BRSR ESG Data: Environmental, social, and governance metric logs for annual BRSR report
Why Choose Lawful Journey?
Senior CS & Advocate Leadership
Direct supervision by qualified Company Secretaries and corporate advocates with 15+ years of specialized experience in statutory compliance, certification, and corporate law.
Pre-Filing Quality Review
Structured document reviews help identify missing information, inconsistencies, and filing risks before submission to the relevant authority.
Fast-Track Turnaround
Streamlined internal workflows, digital portal filing acceleration, and dedicated case managers keeping you updated at every single milestone.
End-to-End Confidentiality
Bank-grade data confidentiality and legally binding NDAs protecting your business records, proprietary technical data, and corporate filings.
Transparent Fixed Pricing
Clear, all-inclusive professional fees without hidden charges or surprise surcharges. Complete clarity before filing begins.
Post-Approval Support
Ongoing compliance tracking, annual renewal reminders, statutory register updates, and dedicated helpline for all future legal requirements.
Frequently Asked Questions
-
Form MR-3 (Secretarial Audit Report under Section 204) is an exhaustive audit of all corporate, securities, labor, and industry-specific laws annexed to the Board's Report. The ASCR is a specialized report issued under SEBI circulars specifically evaluating compliance with SEBI Regulations and circulars filed with stock exchanges within 60 days of financial year end.
-
Following the latest SEBI amendments: (1) Events emanating from a Board Meeting must be disclosed within 30 minutes of meeting closure, (2) Material events originating within the company must be disclosed within 12 hours, and (3) Events originating outside the company must be disclosed within 24 hours.
-
An SDD is a secure, non-tamperable electronic database with internal time-stamping that a listed company must maintain to record the nature of Unpublished Price Sensitive Information (UPSI), the names and PANs of persons sharing the information, and the recipients of such information.
-
Under SEBI LODR Regulation 34(2)(f), the top 1,000 listed entities by market capitalization are mandatorily required to include a Business Responsibility and Sustainability Report (BRSR) in their Annual Report.
-
Stock exchanges impose a mandatory fine of ₹5,000 per day until the results are submitted. If default continues beyond 15 days, the exchange issues a warning notice and can freeze the entire promoter shareholding.
Ready to Get Started with Listed Companies Compliance & SEBI LODR Advisory?
Schedule a confidential consultation with our Senior Company Secretaries and Legal Advisors. We provide strategic guidance, document preparation, and fast-track execution.
Call: +91 99102 18035 Chat on WhatsApp