SECURITIES MANAGEMENT AND COMPLIANCES SECURITIES MANAGEMENT AND COMPLIANCES

SECURITIES MANAGEMENT AND COMPLIANCES

SECURITIES MANAGEMENT AND COMPLIANCES Compliance of issuer Company in relation to Securities Related Laws and Capital Market SCRA Compliances of Rules and Regulations Issue Management Indian Issue Management Depositories Act SEBI Foreign Issue Management Inspection and Investigation Securities Appellate Tribunal (SAT) Demat Procedures Companies Act FEMA Other Laws Stamp Act Corporate Action Information Technology Act Securities Reconciliation Certificate Income-Tax Act Competition Act

INDIAN ISSUE MANAGEMENT Issue Management Listing Public Issue Right Issue Preferential Allotment Private Placement Bonus Issue Equity offload Compliance of Listing Agreement Corporate Governance EDIFAR Insider Trading Unfair Trade Practices Buy Back of Securities Other Clauses Due Diligence By Intermediaries By Company Delisting Eligibility Norms Pricing of Securities Bankers to an Issue Depositories and Participants Appointment of Intermediaries Contents of Prospectus Registrar to an Issue and Share Transfer Agents Post Issue Obligations Compliance of various Rules and Regulations Custodian Debenture Trustees

FOREIGN ISSUE MANAGEMENT Compliance of issuer Company in relation to issue of Securities in Foreign Countries Issue Management (ADR/GDR) Listing in Foreign Stock Exchanges Approvals Required Principal Documentation Appointment of Agencies Pre & Post Launch Additional Key Action Due Diligence Compliances of Basic Conditions of Listing Procedure and Management Disclosure Requirements and Continuing Obligations By Companies By Intermediaries

COMPLIANCES UNDER SEBI ACT, RULES AND REGULATIONS Compliance of Rules and Regulations Prohibition of Unfair Trade Practices Buy-back of Securities Buy-back through open market Insider Trading Buy-back through Book Building Securities Appellate Tribunal Inspection and Investigation Takeover Code Open Offer Buy-back through Tender Offer Exemption Compliances Model Code of Conduct Continuing Disclosures Efficacy and Adequacy of Security of Files and documents Maintenance of records and documents ESOPs and ESOS

COMPANIES ACT Provisions To Issue of Shares or Debentures Provisions Relating to Debentures Prospectus Subscription and Allotment Debentures with voting rights Return on Allotment Buy-back of shares Appointment of Debenture Trustees Issue of Shares at Discount Further Issue of Capital Issue of Sweat Equity Shares Provisions Relating to Transfer of Shares & Debentures Debenture Trust Deed Transfer of Shares and Debentures (Section 108, 108 A to 108 I, 109, 110, 112) Transmission of shares (109 B) Inspection of Trust Deed Refusal of Registration of Transfer Issue and Effect of Share Warrants to Bearer Creation of Security and Debenture Redemption Reserve Compliances under Companies (Isue of Share Certificates) Rules, 1960

FEMA FEM (Transfer or Issue of Security by a Person Resident Outside India) Regulations 2, 000 Approvals of SIA/FIPB Compliances of Regulations in case of Issue of Shares by International Offering through ADR / GDR Filing of Forms and Reports and Quarterly Reports Compliance of Terms and Conditions of Approval