SEBI Compliance Services

Companies whose securities are listed on a recognised stock exchange, and certain market intermediaries, operate under an additional layer of regulation imposed by the Securities and Exchange Board of India over and above the Companies Act. The SEBI Listing Obligations and Disclosure Requirements Regulations, along with other SEBI regulations governing insider trading, takeovers, and capital issuances, impose continuous disclosure, governance, and reporting duties on listed entities. This affects listed companies, entities planning a public issue or listing, and registered intermediaries such as brokers, depositories, and portfolio managers.

Why This Matters

SEBI regulations are enforced through a combination of exchange monitoring, periodic filings, and SEBI's own inspection powers, and non-compliance can result in monetary penalties, adjudication proceedings, and reputational damage that affects investor confidence and share price. Because listed company obligations are time-bound and often overlap with quarterly financial reporting cycles, a compliance lapse is visible to the market almost immediately, making proactive management of these obligations essential rather than optional.

How We Help

LODR Compliance

We help listed companies meet their continuous disclosure obligations under the LODR Regulations, including corporate governance reports, related party transaction disclosures, and timely intimation of material events to the stock exchanges.

Periodic Regulatory Filings

We prepare and coordinate the filing of quarterly and annual compliance reports, shareholding pattern disclosures, and corporate governance certificates that listed companies must submit to the exchanges within prescribed timelines.

Disclosure and Insider Trading Compliance

We assist in framing and implementing the code of conduct for prevention of insider trading, monitoring trading windows, and ensuring that disclosures relating to substantial shareholding and changes in promoter holding are made accurately and on time.

Capital Market Transaction Support

For companies planning a public issue, rights issue, buyback, or other capital market transaction, we support the secretarial and regulatory compliance workstream that runs alongside the transaction, coordinating with merchant bankers and legal counsel as needed.

Who Needs This

• Companies listed on the BSE, NSE, or other recognised stock exchanges
• Companies preparing for an initial public offering or other listing
• SEBI-registered intermediaries such as brokers, depositories, and portfolio managers
• Promoters and large shareholders subject to disclosure obligations

Our Approach

We track SEBI's evolving regulatory framework closely and translate it into practical, dated checklists tailored to each client's listing status and transaction calendar. Our focus is on preventing last-minute scrambles around exchange filing deadlines by building disclosure preparation into the client's regular reporting rhythm, and on flagging governance or disclosure gaps early enough that they can be addressed before they attract regulatory attention.

Get in Touch

To discuss how we can support you with SEBI compliance services, write to us at info@agarwalurs.com.