IPOs & Growth Capital
Leverage our regulatory support right from the first step to the final listing.
Enquiry Form
0
+
Years of Experience
50
%
Client
Satisfaction
95
.99%
Success
Rate
INR
0
K Cr.
Largest IPO
Managed
0
+
Years of Experience
50
.99%
Success
Rate
INR
K Cr.
Largest IPO
Managed
50
%
Client
Satisfaction
Navigate IPO journey backed by a 30-year legacy of success ensuring end-to-end guidance from IPO readiness to listing.
With over 30 years of experience, our experts deliver end-to-end IPO advisory services, ensuing every legality and compliance requirement. Right from rigorous due diligence and gap analysis to the adjudication of past non-compliances, we cover it all. Our mandate covers certification of capital build-up, governance framework structuring including the reconstitution of boards and committees, and the drafting of policies, codes, and terms of reference. We establish PIT and SDD frameworks, issue ESOP compliance certificates under SEBI Regulations, and advise on all corporate actions including bonus issues and private-to-public conversions.
Service Areas Within IPOs & Growth Capital
IPOs & Growth Capital
We review and support BRLM and law firms in drafting chapters of DRHP, RHP and propsectus relating to non-business sections, draft policies and various certificates, and obtain approval of stock exhanges.
ESOP & SAR Scheme Design
We draft ESOP/ SAR and other employee reward / retention schemes inclduing structuring through trust, obtain approval of board and shareholders, design vesting frameworks, and ensure regulatory compliances.
M&A & JV Structuring
Our team offers end-to-end support for schemes of arrangement including mergers, demergers, amalgamations and business transfers covering structuring, board and shareholder approvals, among others.
Due Diligence & Health Check
We conduct due diligence of secretarial records and capital history since incorporation. Our team identifies compliance gaps and provide insights into regularising matters and strengthening overall compliance readiness.
Ascentium Insights
Frequently Asked Questions
Which are the services covered under Regulatory Advisory?
Regulatory Advisory offers end-to-end Corporate Secretarial Advisory and Compliance services ranging from Listed Company Advisory, IPOs & Growth Capital, Corporate Actions, Regulatory Compliance and Appearance before the regulators like Registrar of Companies, Regional Director, National Company Law Tribunal and Securities Appellant Tribunal. We provide secretarial support services for continuous compliances such as preparing documents for the board/committees and shareholder meeting, maintaining statutory records, audit & certification of all event and annual compliances with the Ministry of Corporate Affairs (MCA).
At what stage should a company start IPO readiness activities?
IPO readiness should ideally begin 12–24 months before proposed filing to address governance restructuring, compliance regularisation, capital restructuring, board composition, policy implementation and historical secretarial gaps.
What are the most common issues identified during IPO or investor due diligence?
Common observations include incomplete secretarial records, delayed filings, non-compliant share issuances, improper approvals, FEMA reporting gaps, outdated policies, ESOP irregularities and governance inconsistencies.
Can past non-compliances be rectified before fundraising or listing?
Yes, historical non-compliances can be reviewed and regularised through corrective filings, compounding or adjudication with regulator or tribunal, governance restructuring and implementation of compliant documentation frameworks.
Why is secretarial due diligence critical in investment and acquisition transactions?
Secretarial due diligence helps assess the legal validity of corporate actions, share issuances, approvals, governance practices and compliance history which directly impacts transaction risk and valuation.
What are the areas reviewed during a secretarial health check?
Reviews typically cover statutory registers, MCA and stock exchange filings, share capital history, board and shareholder records, FEMA compliances, governance policies, corporate approvals and transaction documentation.
How do governance gaps impact transactions and investments?
Weak governance practices, inconsistent approvals and non-standard documentation often lead to transaction delays, investor concerns, restructuring requirements and additional regulatory scrutiny.
How does transaction structuring impact mergers, investments and joint ventures?
Transaction structuring determines the legal, regulatory, tax, governance and control framework of a deal, impacting approvals, shareholder rights, FEMA implications, future exits, compliance obligations and overall transaction efficiency.
How do companies ensure FEMA compliance in foreign investment transactions?
FEMA compliance requires proper structuring of investments, pricing compliance, RBI reporting, downstream investment assessment, sectoral cap evaluation and ongoing monitoring of foreign shareholding positions.
What is the process for registration on the Social Stock Exchange?
The process generally involves eligibility assessment, review of constitutional and governance documents, implementation of required reporting frameworks, preparation of disclosures, filing of registration documents and coordination with the recognised stock exchange for approval and onboarding.
