Securities Law Advisory

Securities Law in India is governed and regulated by Securities and Exchange Board of India (SEBI). SEBI as a statutory regulator body was established in the year 1992 under SEBI Act 1992, with primary objective of protecting the interest of investors, promoting the development of and regulating the Securities Market. Commodities derivative market is also now being governed by SEBI since merger of Forward Market Commission (FMC) with SEBI in September 2015

Strict compliances of trading regulations like Prohibition of Fraudulent and Unfair Trade Practices (PFUTP), Prohibition of Insider Trading (PIT); Substantial Acquisition of Shares and Takeovers (SAST), have to be kept in mind by every Intermediary as well as Investors trading in the market. Each Intermediary has to simultaneously keep abreast with provisions of their respective applicable Regulations and Code of Conduct therein. Stock Brokers are additionally subjected to compliances of laws, byelaws and regulations and inspections by Stock Exchanges as well.  A listed company in its day to day functioning as well as for any corporate action has to keep abreast with and ensure compliance with plethora of rules and regulation including SEBI (LODR) Regulations, SEBI (ICDR) Regulation, SEBI (SAST) Regulations, SEBI (PIT) Regulations etc.

Transique Corporate Advisors through it’s team of dedicated and seasoned professionals, endeavor to assist and provide well informed advisory to its clients ranging from Listed Companies, Investors, Fund house and Market Intermediaries. We also help our clients in representations before SEBI, Securities Appellate Tribunal and Stock Exchanges and other judicial and quasi judicial forums.  

We can help you in:

1. Issuing advisory and opinions on wide ranging issues arising from complex rules and regulations of SEBI including Listing Regulations, ICDR, Insider Trading, Takeovers and Acquisition etc.
2. Replies and Representation against the adjudication and investigation proceedings initiated, show cause notices issued by SEBI.
3. Appeals before Securities Appellate Tribunal against orders or directions of SEBI and Stock Exchanges.
4. Replies and Representations to Stock Exchanges against actions/directions issued by them.
5. Advising and assisting in filing for Settlement / compounding of offences and violation of various provisions of SEBI Regulations.
6. Advising on various aspects related to compliances, applicability of provisions, market practices etc. to the Market intermediaries including Stock Brokers, Portfolio Managers, Investment Advisors, Research Analyst etc.
7. Documentation and registration process of various Market Intermediaries
8. End to end advisory including structuring, documentation and registration of all categories of Alternate Investment Funds and Foreign Venture Capital Funds and advisory to Foreign Portfolio Investors (FPIs).
9. Advisory and opinions related to investments and trading in shares by Investors, FPIs, HNIs, Private Equities and fund houses etc.
10. Drafting and vetting of various applicable code of conducts and policies for Listed Companies and Market Intermediaries.