SEBI & Listing Compliances — AVS & ASSOCIATES

  • Stay SEBI Compliant — Avoid Penalties, Suspension & Legal Exposure

Whether you’re a listed company, SME issuer, or preparing for IPO, SEBI mandates strict, timely, and accurate compliance. AVS & Associates ensures end-to-end SEBI, LODR, SAST, PIT, and stock exchange compliance — with legal precision and zero delay.

  • Relationship is Priority
  • Serving Clients Across Delhi NCR | PAN India

Ready to Stay 100% Compliant?

Listed entities face increasing scrutiny from SEBI, Stock Exchanges, and shareholders. A single missed disclosure can lead to hefty penalties and reputational damage. We help you stay ahead — not just compliant, but audit-ready at all times.

Looking for a Long-Term Compliance Partner?

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What We Help You Comply With

Our expertise covers a wide spectrum of SEBI regulations and exchange-related filings:

SEBI (LODR) Regulations, 2015

Applicable to all listed companies (Main Board, SME, Institutional):

  • Corporate Governance Reports
  • Outcome of Meetings & Board Decisions
  • Shareholding Pattern (Reg. 31)
  • Financial Results (Reg. 33)
  • Related Party Transactions (Reg. 23)
  • Annual Secretarial Compliance (Reg. 24A)
  • Certificate on Non-Disqualification of Directors (Reg. 34)
SEBI (PIT) Regulations, 2015 — Insider Trading Compliance
  • Code of Conduct for Designated Persons
  • Trading Window Closure & Pre-Clearance
  • Structured Digital Database (SDD) Maintenance
  • Initial & Continual Disclosures (Form B, C, D)
  • UPSI management & PIT Training for Insiders
SEBI (SAST) Regulations, 2011 — Takeover Disclosures
  • Promoter & Acquirer Disclosures under Regulation 29/30
  • Event-based filings for acquisitions/disposals
  • Open Offer compliance coordination
Stock Exchange Compliance (NSE, BSE)
  • Real-time filings via NEAPS / BSE Listing Centre
  • Corporate Announcements (Press Releases, Media Reports, etc.)
  • Investor Grievance Redressal Mechanism
  • Monitoring & uploading disclosures via XBRL and PDF
SME IPO & Listing Support
  • DRHP & Listing Agreement Support
  • Ongoing SME Compliance & Migration to Main Board
  • Post-IPO Disclosures & Utilisation Reporting

Secretarial Audits & Specialized Reports

We also undertake statutory & event-based filings critical for audit, investor confidence, and SEBI inspections:

Secretarial Audit Report

MGT-7, AOC-4, LODR & Companies Act review (Form MR-3)

Scrutinizer’s Report

For postal ballot, AGM/EGM, voting under Section 108/110

Share Capital Audit Report

Share Capital Audit Report

Annual Secretarial Compliance Report

LODR Regulation 24A

Certificate of Non-Disqualification of Directors

Required in Annual Reports

Event-Based Certifications & Opinions

For buyback, preferential allotments, etc.

All reports are issued by experienced Company Secretaries as per SEBI & ICSI norms.

Why SEBI Compliance Is Critical

SEBI regulations are not just formalities — non-compliance can result in severe consequences such as:

Penalties & Fines

Ranging from ₹1 lakh to ₹25 crores depending on the violation

Suspension of Trading

Exchanges can suspend trading of shares for delay or non-filing

Legal Liability on Directors

Personal liability under Companies Act and SEBI Acts

Investor Confidence Loss

Delay in disclosures or improper filings damages credibility

Regulatory Scrutiny

SEBI and stock exchanges conduct surprise inspections and audits

In today’s regulatory environment, SEBI and exchanges expect proactive, transparent, and tech-enabled compliance. There is little room for error — especially for listed and IPO-bound companies.

 AVS & Associates ensures that your company is compliant with all SEBI laws, circulars, and exchange obligations — on time, every time

Our Process & Support Approach

With AVS & Associates, you’re not just outsourcing compliance — you’re gaining a team that works like your in-house SEBI department

Compliance Calendar Setup

We prepare a personalized compliance tracker for your company with all due dates and reporting formats (quarterly, half-yearly, annual).

Timely Disclosures & Filings

We handle SEBI, NSE/BSE, and MCA filings including XBRL formats, PDF uploads, and email submissions.

Drafting & Vetting of Reports

Our legal team prepares or reviews outcome disclosures, shareholder communications, financial results, audit reports, and press releases.

Board-Level Advisory

We assist in drafting Board meeting agendas, resolutions, and committee reports for Audit, Nomination & Remuneration, CSR, and Stakeholder Relationship Committees.

Pre-IPO & Post-Listing Support

Whether you’re SME-listed or planning a main-board IPO, we help with DRHP/DLOF reviews, LODR compliance, and coordinating with merchant bankers and exchanges.

Risk Mitigation

We identify gaps in your current practices and proactively close compliance loopholes that may invite penalties.

 AVS & Associates ensures that your company is compliant with all SEBI laws, circulars, and exchange obligations — on time, every time

  • Documents & Disclosures We Manage

From routine filings to critical disclosures, we handle it all with accuracy and confidentiality.

Periodic Disclosures (as per SEBI LODR Regulations)
  • Outcome of Board Meetings
  • Financial Results (Quarterly / Annual)
  • Shareholding Patterns (Reg. 31)
  • Statement of Deviation/Variation (Reg. 32)
  • Corporate Governance Reports (Reg. 27)
  • Related Party Transactions (Reg. 23(9))
  • Reconciliation of Share Capital Audit (Reg. 55A)
Event-Based Disclosures
  • Change in Directors/KMP
  • Allotment of Securities
  • Material Agreements or Events (Reg. 30)
  • Bonus, Rights, and Buyback Disclosures
  • Acquisition or Disposal of Stake
  • Resignation or Appointment of Auditors
  • Issuance of Press Release or Investor Presentation
Scrutinizer & Secretarial Reports
  • AGM/EGM Scrutinizer Report
  • Secretarial Audit Report under SEBI Regulations
  • Annual Secretarial Compliance Report
  • Internal Audit Reports (for Depository Participants)
  • Share Capital Audit Reports

Ready to Stay Ready to Stay ?

Listed entities face increasing scrutiny from SEBI, Stock Exchanges, and shareholders. A single missed disclosure can lead to hefty penalties and reputational damage. We help you stay ahead — not just compliant, but audit-ready at all times.