SEBI Registration and Compliances

sebi registration and compliances



SEBI plays an important role in regulating all the players operating in the Indian capital markets. It attempts to protect the interest of investors and aims at developing the capital markets by enforcing various rules and regulations. At Affluence, we offer registration and compliance services.


Our offerings

  • Registrations for an investment advisor, research analyst, and stock brokers and assisting in the filing of various forms under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations
  • Assisting in the filing of various forms under SEBI Prohibition of Insider Trading Regulations.
  • Advising on various SEBI Regulations like SEBI Takeover Code, SEBI Insider Trading Regulations, SEBI (ICDR) Regulations, SEBI Portfolio Managers Regulations, SEBI Broker Regulations with respect to IPO, Public Issue, Right Issue, Bonus Issue, Preferential Allotment, QIP, etc
  • Assisting in obtaining various regulatory approvals from SEBI/ BSE/ NSE
  • Assisting in delisting of companies from Stock Exchanges under SEBI (Delisting of Equity Shares) Regulations
  • Assisting in compliance with various Listing Clauses under the Listing Agreement
  • Quarterly/Half-Yearly/Yearly Compliances for ensuring Listing/SEBI compliant