Investments & Securities

Fee Structure

Consultation Per Hour
Total : 25000/- INR


SEBI, FEMA, AND RBI REGULATIONS CONSULTANCY

Every undertaking operating in India if listed has to follow SEBI Guidelines and Regulations. Undertaking engaged in International business transactions shall follow FEMA Regulation. The Banking sector in India is regulated by the RBI Regulations and Guidelines. In order to act under the ambit of the legal framework, it's essential to know about all these regulations and due adherence to applicable regulations. 

 

LEGAL FRAMEWORK 

Securities Contract Regulation Act, 1956

SEBI Insider Trading Regulations, 2015

SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015

FEMA Act and Rules and Regulation,1999

Banking Regulations, 1949

RBI Act, 1934

 

  SEBI Compliances

 QUARTERLY COMPLIANCES

S.

No.

REGULATIONS

PARTICULARS

TIMELINE

1.

Regulation13(3)

Statement of Investor Complaints

Within 21 days from the end of each quarter

2.

Regulation 27(2)

Corporate Governance

Within 15 days from the end of each quarter

3.

Regulation 31

Shareholding Pattern

Within 21 days from the end of each quarter

4.

Regulation 33(3)(a)

Financial Results

Within 45 days from quarter end and in case of Annual Financial Result, within 60 days from end of Financial Year

5.

Regulation 74(5) of SEBI (DP) Regulations 2018

Manner of surrender of certificate of security

Within 15 days from the end of each quarter

6.

Regulation 76 of SEBI (DP) Regulations, 2018

Reconciliation of Share Capital Audit Report

Within 30 days from the end of each quarter

 

HALF YEARLY COMPLIANCES

S.

No.

REGULATIONS

PARTICULARS

TIMELINE

1.

Regulation 7(3)

Compliance Certificate certify maintaining physical & electronic transfer facility

Within 1 month of end of each half of the financial year

2.

Regulation 40(10)

Certification from Practicing Company Secretary relating transfer or transmission or transposition of securities

Within 1 month of end of each half of the financial year

 

ANNUAL COMPLIANCES

S.

No

REGULATIONS

PARTICULARS

TIMELINE

1.

Regulation 24A

Annual Secretarial Compliance Report

Within 60 days of end of financial year

2.

Regulation 34

Annual Report

Not later than the day of commencement of dispatch to its shareholders and not less than 21 days before the annual general meeting

3.

Regulation 44

Submission of Voting Results

Within 48 hours of conclusion of General Meeting

 

GENERAL COMPLIANCES

S.

No

REGULATIONS

PARTICULARS

TIMELINE

1.

Regulation 7

Intimation of appointment of New Share Transfer Agent

Within 7 days of entering into the agreement with RTA

2.

Regulation 14

Listing fees & Others charges

Within due dates in the manner specified by the Boards of SEBI

3.

Regulation 29

Notice for Board Meeting to consider the prescribed matters

Giving prior intimation at least 2 working days in advance for Buyback of securities, Voluntary delisting, Fund raising, Declaration of bonus securities, Declaration / recommendation of dividend, issue of convertible securities

And in case approval of financial statements intimation may be given at least 5 clear days in advance

4.

Regulation 39(3)

Loss of share certificates and issue of the duplicate share certificates

Within 2 days of getting the information

5.

Regulation 30

Outcome of Board Meeting

Within 30 minutes of closure of the meeting

6.

Regulation 42

Notice for Record Date / Corporate Action

In advance of at least seven working days (excluding the date of intimation and the record date) before the record date fixed, in case of specified corporate actions and at least five working days in case the listed entity recommends / declares all dividend and / or cash bonuses.

7.

Regulation 46

Maintain Website of the company

To be updated within 2 working days

 

 FEMA and RBI Compliances

  • Annual Return on Foreign Liabilities and Assets
  • Annual Performance Report
  • External Commercial Borrowings (ECB)
  • Single Master Form (w.e.f.30.06.2018)
  • Advance Remittance Form
  • Form FC- GPR
  • Form FC- TRS
  • Form ODI

 

How White Code Legal Help?

White Code Legal provides extensive consultancy services on legal matters helping undertakings to take the project forward;

  • Advising on applicable laws
  • Drafting Agreement involving FEMA and RBI guidelines
  • Compliance with FDI regulations.
  • Assistance in filing various Forms and Returns.
  • Advisory Related to various current and capital account transactions.
  • Due Diligence under FEMA, RBI, SEBI Act.
  • Fund Raising, IPO related, Listing related advisory under SEBI consultancy

 

Service Delivery Process followed by White Code Legal:

  1. The Client has to register themselves on our website.
  2. Once the Client is registered, we raise a Service Request.
  3. The Client receives a proforma invoice with an option to confirm and pay now or pay later.
  4. Once the Client confirms, our dedicated relationship manager liaisons with our experts, and clients share a list of client information required to deliver the service.
  5. Once we receive the information, we take the required steps to deliver the service and the service request is closed.

 

Service Inclusions

  • Professional Fees

 

Service Exclusions

  • GST, Government Fee, and other Additional Taxes

 

Why White Code Legal? 

At White Code Legal we prioritize and always strive to deliver excellence. Keeping a focus on maintaining affordable prices and delivering 100% client satisfaction we aim to make worth every penny our clients spend with us and build a lasting relationship with them.