From initial public offerings (IPOs) and compliance with securities regulations to handling complex securities litigation, Filfox's proficiency in Securities Law ensures smooth financial transactions, in accordance with the law.
Listed Companies
Assistance & Advisory Services
Further Issue of Equity / Capital
Right Issues
Private Placement
Listing Compliances
Recurring Quarterly, Half Yearly and Annual Compliances
Event Based Compliances {SEBI (LODR) Regulations,2015, Takeover Code & SEBI (ICDR) Regulations, SEBI prohibition of Insiders Trading Regulations, Companies Act, 2013}
Advisory and Assistance in implementation and compliances with relevant laws:
Bonus Issues
Buy Back of Companies Shares
Stock Splits
Consolidation of Stocks
Equity and Debt Re-structuring
Privatization & Voluntary Delisting from Stock Exchange
With SEBI
With Stock Exchanges (NSE / BSE / MSEI)
With Investors
Drafting representation / reply to Adjudicating Officer on show cause notice etc.
Representation before SAT and Supreme Court of India
Listing in Stock Exchange – Mainboard/SME IPO Advisory
Assistance & Advisory Services
Drafting of Application for in Principal Approvals
Consolidating and filing of required documents and annexures
Regulatory Compliances {SEBI (LODR) Regulations, SEBI (ICDR) Regulations}
Liaising with Stock Exchanges
Getting listing approvals from Stock Exchange
Drafting and reviewing of relevant offer documents {Red Herring Prospectus etc.}
Consolidating and filing of required documents and annexures
Regulatory Compliances {SEBI (LODR) Regulations, SEBI (ICDR) Regulations}
Liaising with Stock Exchanges
Getting listing approvals from Stock Exchange
SEBI Registered Intermediaries: Stock Brokers, Commodities Brokers, PMS, Depository Participant
Assistance & Advisory Services
Filing of relevant documents as per Check List
Liaising with Relevant Authorities {Under SEBI Regulations, Stock Exchanges Rules, Regulations, Bye-Laws}
Recurring Legal Compliances
Event Based Compliances {Under SEBI Regulations, Stock Exchanges Rules, Regulations, Bye-Laws}
Drafting representation before the Relevant Authority of Stock Exchanges
Representing before Disciplinary Committee of Stock Exchanges
Representation before NSE, BSE Arbitrations against Investor(s) and Client(s)
Drafting Representation / Reply to SEBI enquires
Representation before Securities Appellant Tribunal and Supreme Court of India.
Alternative Investment Funds
Assistance & Advisory Services
Registration of Funds under SEBI Regime {SEBI (Alternative Investment Fund Regulations, 2012}
Recurring Legal Compliances
Event Based Compliances {SEBI (Alternative Investment Fund) Regulations, 2012}
Other Intermediaries
Assistance & Advisory Services
Filing of relevant documents as per Check List
Liaising with Relevant Authorities {Under SEBI Regulations, Stock Exchanges Rules, Regulations, Bye-Laws}
Recurring Legal Compliances
Event Based Compliances {Under SEBI Regulations, Stock Exchanges Rules, Regulations, Bye-Laws}
Drafting representation before the Relevant Authority of Stock Exchanges
Representing before Disciplinary Committee of Stock Exchanges
Representation before NSE, BSE Arbitrations against Investor(s) and Client(s)
Drafting Representation / Reply to SEBI enquires
Representation before Securities Appellant Tribunal and Supreme Court of India.
Investors
Assistance & Advisory Services
Representing in Investor Grievance issues with the Company, SEBI registered intermediaries
Initiating legal action under Relevant Laws for redressal
NSE and BSE Arbitrations
Representation before Securities Appellant Tribunals and Supreme Court of India
