Regulatory Support – SEBI, Stock Exchange & ROC Compliances
Importance of Regulatory Support
The success of an IPO is not just determined by market conditions but also by strict compliance with regulatory requirements. Regulatory bodies like SEBI (Securities and Exchange Board of India), Stock Exchanges (NSE, BSE), and ROC (Registrar of Companies) mandate rigorous disclosure norms, filings, and governance standards. Non-compliance at this stage can delay approvals, attract penalties, or even derail the IPO process.
SEBI Oversight
SEBI plays a central role in safeguarding investor interests by ensuring transparency and fairness in the IPO process. Companies must comply with SEBI (ICDR) Regulations, 2018, disclosure requirements, lock-in provisions, and continuous listing obligations. This requires meticulous preparation and expert guidance to avoid discrepancies during scrutiny.
Stock Exchange Compliance
Stock Exchanges (NSE, BSE, etc.) impose specific listing requirements such as minimum promoter contribution, net worth, profitability track record, and continuous disclosure of financial performance. Companies must also establish mechanisms for grievance redressal, corporate governance, and shareholder communication. Meeting these standards is essential for smooth listing approval.
ROC Compliance
The Registrar of Companies governs corporate law compliance under the Companies Act, 2013. Before and after IPO, companies are required to file resolutions, prospectus-related documents, capital restructuring approvals, and board/shareholder resolutions with ROC. Failure to maintain accurate and timely filings may lead to penalties and loss of credibility.
Our Role
At A K Salampuria & Associates, we provide end-to-end regulatory support for IPO-bound companies. From SEBI filing assistance and DRHP preparation to coordinating with stock exchanges and managing ROC submissions, we ensure your organization meets every statutory requirement. Our team works closely with merchant bankers, legal advisors, and company management to streamline the process, minimize risks, and ensure timely approvals.
Value We Deliver
By ensuring complete regulatory compliance, we reduce the risk of objections, delays, or rejections from authorities. Our proactive approach allows companies to focus on their core business and investor engagement while we manage the complexities of SEBI, Stock Exchange, and ROC requirements with precision and efficiency.
Frequently Asked Questions (FAQs)
Because SEBI ensures investor protection, any gaps in disclosure or governance can result in delays, fines, or rejection of the IPO proposal.
Stock exchanges evaluate a company’s eligibility for listing and enforce continuous disclosure and governance obligations to protect investors.
ROC filings include resolutions for capital restructuring, prospectus-related forms, and statutory disclosures under Companies Act, 2013.
Absolutely. We provide ongoing compliance support covering SEBI (LODR) Regulations, stock exchange filings, and ROC requirements post-listing.
IPO Management Services
CA. Dhiraj Jain
Let's Talk
Reach out to our team we’re here to assist you with audit, tax, and advisory solutions.
