SEBI Listing Compliance

SEBI Listing Compliance

Once a company gets listed, the responsibility doesn’t stop at ringing the bell. SEBI expects transparency, timely disclosures, structured governance, investor protection, and clean reporting. Missing a deadline or misreporting information can trigger penalties, suspensions, or loss of investor trust.

We help listed companies stay fully compliant with SEBI, stock exchange rules, LODR regulations, and disclosure requirements—without scrambling at the last minute.

What’s Included

Regulatory & Exchange Filings

• Quarterly, half-yearly, and annual LODR filings

• Shareholding pattern, financials, and corporate governance reports

• Outcome of board/committee meetings

• Press releases, investor updates, material disclosures

Board & Governance Compliance

• Constitution and monitoring of mandatory committees

• Appointment/cessation of directors and KMP filings

• Related party transaction reporting

• Insider trading and Code of Conduct compliance

Secretarial & Disclosure Support

• Annual secretarial compliance report

• XBRL filings and continuous disclosure requirements

• Monitoring UPSI, trading window, and insider registry

• Annual reports, notices, and shareholder communication

Event-Based Compliance

• Preferential issue, rights issue, bonus, buyback

• M&A, slump sale, restructuring, delisting

• ESOPs, share transfers, pledge/release disclosures

Audit & Review

• Secretarial audit coordination

• Internal control and compliance health check

• Assistance during SEBI or stock exchange inquiries

Documents Generally Required

• Financial statements and quarterly results

• Shareholding and promoter details

• Board and committee minutes

• Policies: insider trading, RPT, code of conduct, governance

• Exchange filings, notices, resolutions, agreements

• Investor grievance records and disclosures

Compliance Frequency Snapshot

• Quarterly: financial results, limited review, investor complaints, shareholding pattern

• Half-yearly: corporate governance report (for applicable entities)

• Annually: secretarial compliance report, annual report, AGM filings

• Continuous: price-sensitive information and material events

Why SEBI Listing Compliance Matters

• Protects brand, valuation, and investor confidence

• Avoids penalties, trading suspension, and adverse orders

• Enhances governance and market credibility

• Smooth due diligence during fundraising or M&A

• Strengthens long-term shareholder relationships