Listed Company Advisory
Focus on business growth as our experts manage board governance, SEBI Listing and every regulatory compliance.
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We simplify SEBI compliance by managing every end-to-end obligation, right from disclosures to governance.
We offer comprehensive regulatory support to listed entities, equity or debt according to SEBI’s evolving compliance landscape. Our experts with deep regulatory knowledge manage recurring obligations, respond to regulatory developments and ensure strong governance standards. We support businesses with listing regulation compliance including RPTs, Regulation 30 and mandatory stock exchange disclosures, PIT & SDD frameworks. Our services also include debenture trustee coordination, half-yearly and annual compliance reporting, promoter reclassification and Corporate Governance Report preparation.
Service Areas Within Listed Company Advisory
LODR Advisory & Compliance
We offer end-to-end SEBI Listing compliance covering quarterly and annual filings, Regulation 30 disclosures, board & committee governance, and corporate governance compliance.
PIT & SDD Advisory
Our sevices include end-to-end PIT advisory covering code of conduct, fair disclosure, designated persons, trading window management, SDD framework, violation reporting and staff training.
Promoter Reclassification
We cover eligibility assessment, board and shareholder resolutions, stock exchange applications and disclosure compliance.
Corporate Governance Report
We provide Corporate Governance Report preparation and audit services, including a comprehensive review of board and committee composition, and independent director compliance.
Shareholder & Exchange Disclosures
We assist companies in meeting all stock exchange disclosure and reporting requirements, including Regulation 30 disclosures of material events among others.
Ascentium Insights
Frequently Asked Questions
What are the services provided under end-to-end exchange filing compliance?
Our experts work closely with the compliance teams of businesses to manage exchange filing compliances under SEBI Regulations, from the filing of financial results, shareholding patterns, and corporate governance reports to the timely disclosure of material events to stock exchanges. Our team supports board, committee, and general meeting compliances, insider trading frameworks, and share capital reconciliation audits. We liaise directly with stock exchanges, registrars, RTAs, and depositories on behalf of the company, ensuring that all compliances are completed in a timely manner.
What support is provided for the end-to-end implementation of PIT and SDD frameworks?
Our services include setting up the PIT and SDD framework along with drafting governance policies around it. We assist in identifying designated persons and insiders, establishing the SDD, training internal teams, and putting in place pre-clearance and trading window mechanisms. We also support trade disclosures, Chinese Wall procedures, trading plan intimations to stock exchanges, monitoring contraventions, and conducting periodic audits of the SDD. Our support ensures the framework is operationally sound, consistently followed, and audit-ready from day one.
How can Compliance Teams ensure timely and accurate compliance with Regulation 30 of the SEBI Listing Regulations?
Regulation 30 can be demanding as the timelines are tight and the list of disclosable events is ever-expanding. We help identify events that trigger disclosure obligations ensuring filings are made within prescribed timelines on BSE and NSE. We assist in drafting announcements, reviewing materiality thresholds, and maintaining a structured disclosure calendar. Our team also supports in framing and periodically updating the company’s policy on determination of materiality, keeping it aligned with regulatory expectations and board-approved frameworks.
What specific services are offered to manage board and committee meeting requirements and compliance?
We assist listed companies with end-to-end board and committee meeting management, covering preparation and circulation of agenda papers, drafting of resolutions and minutes, and ensuring statutory registers are updated accordingly. Our support extends to matters relating to Related Party Transactions, CSR, Code of conduct adherence, and listing obligations. We also share a forward-looking calendar of board and committee meetings, track regulatory timelines for filings, disclosures, and reporting obligations, flag upcoming compliance deadlines, and maintain a structured repository of board decisions and approvals.
How is the end-to-end management of general meetings and postal ballot approvals facilitated?
We offer end-to-end support for conducting General Meetings and seeking shareholder approvals through postal ballot. Our services cover drafting of notice, explanatory statement, and board resolutions, appointment of scrutinizer, intimation to stock exchanges, registrar, and depositories, and overseeing the e-voting setup with the designated agency. We assist in preparation of the voting results, scrutinizer’s report, and filing in prescribed time. For postal ballots, we additionally manage advertisement requirements, declaration of results, and ensure all post-approval compliances are duly completed.
How are companies supported in ensuring compliance with Related Party Transaction (RPT) requirements?
RPT demand careful handling given the layered approval requirements from the audit committee (independent directors only), board, and members, alongside stringent disclosure obligations under SEBI Listing Regulations and the Companies Act. We assist companies in identifying RPTs, assessing materiality thresholds, and ensuring disclosures in accordance with the Industry Standard Forum format. We support drafting of RPT policies, preparation of omnibus approval frameworks, and ensuring timely disclosures to stock exchanges, keeping the RPT governance structured, transparent, and fully compliant.
What are the services offered for the reclassification of promoters or promoter group entities?
Reclassification of a promoter or promoter group entity is a regulatory process that requires careful navigation of SEBI LODR Regulations and stock exchange requirements. We assist companies and outgoing promoters through the entire process, from assessing eligibility conditions and drafting the board and shareholder resolutions to preparing and filing the application with stock exchanges. We also coordinate responses to exchange queries, track approval timelines, and ensure all post-approval compliances are duly completed. Our end-to-end support makes the reclassification process smooth, well-documented, and fully compliant.
How is the Annual Compliance Calendar for a listed company managed and monitored?
We assist listed entities in remaining fully compliant and well-governed under applicable listing regulations. We work closely with the in-house compliance team by sharing a comprehensive and customised compliance calendar covering all periodic filings, event-based compliances, and disclosure obligations under SEBI Regulations. We proactively track deadlines, issue advance reminders, and coordinate with the in-house team to ensure timely and accurate submissions. Our structured approach significantly reduces the risk of inadvertent non-compliances, exchange notices, and avoidable penalties giving in house compliance team the bandwidth to focus on what truly matters.
How is compliance with SEBI Takeover Regulations managed and supported?
SEBI Takeover Regulations cast specific obligations on acquirers, target companies, and Persons Acting in Concert (PAC) with respect to disclosures and open offer requirements. We assist listed companies in tracking threshold-based disclosure obligations, ensuring timely filing of continual and event-based disclosures with stock exchanges, and monitoring compliance with creeping acquisition limits. We support in identifying triggering events, coordinating with merchant bankers for open offer compliances, and advising the board on regulatory obligations arising under the Takeover Regulations.
