SECURITIES MANAGEMENT AND COMPLIANCES

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SECURITIES MANAGEMENT AND COMPLIANCES
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Issue Management
Listing
Public Issue
Right Issue
Delisting
Private Placement
Preferential Allotment
Corporate Governance
EDIFAR
Bonus Issue
Insider Trading
Unfair Trade Practices
Due Diligence
Buy Back of Securities
Other Clauses
Eligibility Norms
Bankers to an Issue
Pricing of Securities
Depositories and Participants
Appointment of Intermediaries
Registrar to an Issue and
Contents of Prospectus
Share Transfer Agents
Post Issue Obligations
Debenture Trustees
Compliance of various Rules and Regulations
Custodian
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Securities Appellate Tribunal
Compliance of Rules and Regulations
Inspection and Investigation
Prohibition of Unfair Trade Practices
Insider Trading
Takeover Code
ESOPs and ESOS
Buy-back of Securities
Buy-back through open market
Buy-back through Book Building
Buy-back through Tender Offer
Model Code of Conduct
Continuing Disclosures
Maintenance of records and documents
Efficacy and Adequacy of Security of Files and
documents
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Provisions To Issue of Shares or Debentures
Provisions Relating to Debentures
Provisions Relating to Transfer of Shares
Debentures
Compliances under Companies (Isue of Share
Certificates) Rules, 1960
Debentures with voting rights
Debenture Trust Deed
Transmission of shares (109B)
Transfer of Shares and Debentures (Section 108,
108A to 108I, 109, 110, 112)
Prospectus
Subscription and Allotment
Refusal of Registration of Transfer
Issue and Effect of Share Warrants to Bearer
Return on Allotment
Buy-back of shares
Appointment of Debenture Trustees
Inspection of Trust Deed
Issue of Shares at Discount
Further Issue of Capital
Creation of Security and Debenture Redemption
Reserve
Issue of Sweat Equity Shares
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FEM (Transfer or Issue of Security by a Person
Resident Outside India) Regulations 2,000
Compliances of Regulations in case of Issue of
Shares by International Offering through ADR /
GDR
Approvals of SIA/FIPB
Compliance of Terms and Conditions of Approval
Filing of Forms and Reports and Quarterly
Reports