IPO Management Services

Ensuring Full Compliance with Stock Exchange Rules and Governance Norms Post-IPO Compliances – Listing Requirements, Continuous Disclosures & Reporting Post-IPO Compliances The journey of a company does not end with the successful launch of its IPO  it only begins a new phase as a listed entity. Post-IPO, companies face stringent compliance requirements from SEBI, the Stock Exchanges, and the Registrar of Companies (ROC). These compliances are designed to ensure transparency, protect investor interests, and maintain corporate governance standards. Our firm provides end-to-end assistance in managing listing requirements, continuous disclosures, and reporting obligations so that companies can focus on growth while remaining compliant. From board meeting disclosures to quarterly financial results, insider trading regulations, and related party transactions, every requirement needs to be executed timely and accurately. Listing Requirements Once a company gets listed on a recognized stock exchange, it must comply with specific listing requirements. These include maintaining the minimum public shareholding, timely submission of corporate governance reports, and ensuring the board has the right composition of independent and executive directors. Our team ensures that these conditions are continuously met, avoiding penalties or reputational risks. We monitor all SEBI, Stock Exchange, and ROC regulations to ensure companies are always updated. Preparing and filing quarterly, half-yearly, and annual disclosures with accuracy. Assisting in board composition, committee meetings, and independent director compliance. Supporting timely communication of material events, shareholding patterns, and related party transactions. Conducting compliance health checks and gap analysis for listed entities. Identifying potential non-compliance areas early to prevent penalties and litigation. Continuous Disclosures Transparency is the backbone of a listed entity. Companies must make timely disclosures about financial performance, shareholding patterns, material events, and corporate developments. We assist in preparing and filing these disclosures, ensuring they are accurate, compliant, and submitted within prescribed deadlines. This strengthens investor trust and enhances market credibility. Reporting Obligations Post-IPO, a company has to regularly submit reports to SEBI, the Stock Exchanges, and the Registrar of Companies (ROC). These include quarterly and annual financial reports, related party transaction disclosures, insider trading reports, and compliance certificates. We manage these reporting requirements meticulously, enabling companies to focus on business growth while remaining compliant. Corporate Governance Support Good governance is a key expectation from listed companies. We provide advisory and compliance support to help businesses align with SEBI’s corporate governance standards, including independent director appointments, audit committee functioning, and secretarial audits. By ensuring strong governance practices, we help companies maintain investor confidence and long-term sustainability. FAQ Frequently Asked Questions (FAQs) What are post-IPO compliances? Post-IPO compliances are the legal and regulatory requirements a company must follow after being listed, including disclosures, filings, and corporate governance norms. Who regulates post-IPO compliances? SEBI, Stock Exchanges (NSE/BSE), and the Registrar of Companies (ROC) are the main regulators overseeing post-IPO compliances in India. What kind of disclosures are mandatory for listed companies? Listed companies must disclose quarterly financial results, shareholding patterns, material events, corporate announcements, and compliance reports. What happens if a company fails to meet listing compliances? Non-compliance may result in monetary penalties, reputational harm, suspension of trading, or even delisting of securities from the exchange. IPO Management Services Pre-IPO Advisory Regulatory Support Documentation Coordination Post-IPO Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. 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Ensuring Regulatory & Governance Compliance Coordination – With Merchant Bankers, Legal Advisors, Registrars & Other Intermediaries Coordination with Merchant Bankers Merchant bankers are the key intermediaries responsible for structuring and managing the IPO process. We coordinate with them by providing timely and accurate financial data, assisting in issue structuring, and supporting disclosures for the Draft Red Herring Prospectus (DRHP). Our active involvement ensures that valuations, investor presentations, and SEBI filings are carried out seamlessly, enabling merchant bankers to execute their responsibilities effectively. Coordination with Legal Advisors Legal advisors play a crucial role in vetting contracts, litigations, and regulatory compliance. We work closely with them to ensure that all legal disclosures are complete and consistent across documents. Our role includes facilitating governance reviews, addressing SEBI’s queries, and aligning board structures with regulatory norms. By bridging communication between management and legal experts, we ensure that the company’s legal position is presented accurately and transparently. Acting as the single point of contact for all intermediaries. Defining clear milestones and ensuring stakeholders meet deadlines. Cross-verifying financial, legal, and operational inputs before submissions. Ensuring SEBI, Stock Exchange, and ROC requirements are addressed through proper channels. Identifying bottlenecks early and resolving them before they become compliance hurdles. Coordinating with merchant bankers, lawyers, registrars, auditors, and brokers to deliver a unified IPO strategy. Coordination with Registrars Registrars manage the investor-facing aspects of an IPO, including handling applications, allotments, refunds, and grievance redressal. We assist registrars by verifying shareholder records, ensuring allotment processes are accurate, and monitoring communication with investors. This coordination helps build investor confidence and ensures that all statutory requirements related to allotments and refunds are fulfilled without delays. Coordination with Auditors & Accounting Experts Statutory auditors and accounting professionals are responsible for preparing and certifying restated financial statements, which are a key part of IPO disclosures. We work with them to finalize audit reports, align financial statements with IND-AS/IFRS standards, and address any audit observations. Our role ensures that financial information presented in the prospectus is consistent, reliable, and investor-ready. Coordination with Underwriters, Brokers & Other Intermediaries Underwriters, brokers, and syndicate members play a significant role in ensuring the success of the IPO subscription. We coordinate with them by aligning timelines, supporting communication channels, and monitoring investor outreach. Our involvement minimizes the risk of under-subscription and ensures that both institutional and retail investors are engaged effectively throughout the process. FAQ Frequently Asked Questions (FAQs) Why is coordination with multiple intermediaries important in an IPO? Because IPOs involve merchant bankers, auditors, lawyers, registrars, and underwriters, coordination ensures that all stakeholders work in sync, preventing delays and compliance gaps. How do you help in coordination with merchant bankers? We provide accurate financial data, support issue structuring, and assist in disclosures, enabling merchant bankers to handle SEBI filings and investor communications efficiently. What role do you play in registrar coordination? We support registrars in managing investor applications, allotments, refunds, and grievance redressal, ensuring smooth investor experience and statutory compliance. Do you also coordinate with auditors and legal advisors? Yes. We ensure financial statements are consistent and legally vetted, while also aligning governance structures with SEBI and Companies Act requirements. IPO Management Services Pre-IPO Advisory Regulatory Support Documentation Coordination Post-IPO Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. 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Ensuring Accuracy, Transparency, and Compliance in IPO Documentation Documentation – Vetting of Offer Documents, Prospectus, and Disclosures  Importance of Documentation In an IPO, documentation forms the foundation of investor trust and regulatory approval. Every figure, disclosure, and statement in the offer documents must be accurate, transparent, and compliant with SEBI and stock exchange requirements. Errors or omissions can not only delay the IPO process but also damage the company’s credibility in the eyes of investors. Role of Offer Documents The Draft Red Herring Prospectus (DRHP), Red Herring Prospectus (RHP), and other statutory filings are critical instruments that disclose the company’s financial health, business model, risks, governance structure, and growth outlook. These documents must withstand the scrutiny of regulators, institutional investors, and the public at large. Identifying potential business, financial, and regulatory risks. Ensuring disclosures are accurate, compliant, and investor-ready. Identifying potential business, financial, and regulatory risks. Detailing board composition, committees, and compliance with SEBI norms. Reviewing key agreements, litigations, and contingent liabilities. Aligning information across prospectus, filings, and regulatory submissions.  Challenges in Documentation Companies often face challenges in aligning disclosures with SEBI (ICDR) Regulations, maintaining consistency across financials and operational data, and ensuring complete risk factor reporting. Inadequate documentation or incomplete disclosures can result in regulatory objections, investor mistrust, or even rejection of the IPO filing.  Our Role We assist companies in drafting, vetting, and finalizing offer documents, ensuring that every disclosure meets regulatory requirements and industry best practices. Our experts review financials, risk disclosures, corporate governance details, and statutory compliances to ensure accuracy and completeness. We also coordinate with merchant bankers, legal advisors, and auditors to streamline the process.  Value We Deliver By providing thorough vetting of documentation, we help companies build credibility with regulators and investors. Our meticulous approach minimizes risks of non-compliance, strengthens transparency, and enhances investor confidence in the IPO journey. FAQ Frequently Asked Questions (FAQs) What is the role of the Draft Red Herring Prospectus (DRHP)? The DRHP discloses the company’s financials, risks, and governance to SEBI, stock exchanges, and investors, forming the basis of IPO approval. Why is vetting of offer documents important? Vetting ensures that all disclosures are complete, accurate, and compliant with SEBI regulations, reducing risks of objections or rejections. Who is responsible for drafting the prospectus? The company, in consultation with merchant bankers, auditors, legal advisors, and compliance experts, prepares the prospectus. We provide independent vetting to ensure accuracy. What happens if disclosures are incomplete or misleading? Incomplete or misleading disclosures can result in regulatory penalties, investor lawsuits, and severe reputational damage. IPO Management Services Pre-IPO Advisory Regulatory Support Documentation Coordination Post-IPO Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more

Ensuring Seamless Compliance with IPO Regulations and Statutory Frameworks 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. Draft Red Herring Prospectus (DRHP) preparation and review. Ensuring compliance with SEBI (ICDR) Regulations, 2018. Meeting eligibility criteria for listing (profitability/net worth track record). Assistance in setting up shareholder grievance mechanisms. ROC filings for capital restructuring, bonus issue, or rights issue pre-IPO. Advisory on statutory registers, minutes, and disclosures. Filing of prospectus-related forms and post-issue compliance.  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. FAQ Frequently Asked Questions (FAQs) Why is SEBI compliance critical during IPO? Because SEBI ensures investor protection, any gaps in disclosure or governance can result in delays, fines, or rejection of the IPO proposal. What role do stock exchanges play in IPO? Stock exchanges evaluate a company’s eligibility for listing and enforce continuous disclosure and governance obligations to protect investors. What kind of filings are required with ROC before IPO? ROC filings include resolutions for capital restructuring, prospectus-related forms, and statutory disclosures under Companies Act, 2013. Can you assist with post-IPO compliances too? Absolutely. We provide ongoing compliance support covering SEBI (LODR) Regulations, stock exchange filings, and ROC requirements post-listing. IPO Management Services Pre-IPO Advisory Regulatory Support Documentation Coordination Post-IPO Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more

Laying the Right Foundation for a Successful Public Offering Pre-IPO Advisory – Financial Restructuring, Due Diligence, & Compliance Review Importance of Pre-IPO Advisory Going public is a milestone for any company, but success depends on robust preparation. Pre-IPO advisory ensures businesses are structurally, financially, and legally ready to enter capital markets. This stage is critical for addressing compliance, governance, and valuation issues before approaching regulators and investors.  Financial Restructuring We assist companies in reorganizing their financial structure to meet market expectations and SEBI regulations. This includes strengthening balance sheets, optimizing capital structures, reducing debt burdens, and aligning accounting policies with IND-AS and global standards. Financial restructuring not only improves investor confidence but also enhances the company’s valuation. Financial Restructuring & Capital Optimization IND-AS Convergence & Accounting Alignment Comprehensive Due Diligence (Financial, Legal, Operational) Regulatory & Compliance Health Check Corporate Governance Strengthening Risk Mitigation & Disclosure Advisory  Due Diligence Our team conducts thorough due diligence across financial, legal, and operational aspects of the business. This involves validating financial statements, analyzing revenue streams, identifying contingent liabilities, and reviewing contracts. The goal is to uncover and address potential red flags early, ensuring a smooth IPO filing process and reducing post-listing risks.  Compliance Review Compliance is one of the most scrutinized areas during IPO readiness. We perform detailed compliance checks across corporate law, taxation, labor laws, SEBI norms, FEMA, and RBI guidelines. Our review helps identify gaps, prepare disclosures, and strengthen governance frameworks, ensuring the company is fully prepared for regulatory approvals and investor trust.  Value We Deliver By combining financial restructuring, due diligence, and compliance review, we help companies build a strong foundation for IPO success. Our advisory ensures businesses present themselves as transparent, compliant, and growth-ready entities, inspiring confidence among investors and regulators. FAQ Frequently Asked Questions (FAQs) Why is financial restructuring important before an IPO? It ensures the company’s capital structure is investor-friendly, debt levels are manageable, and accounting standards meet SEBI and stock exchange requirements. What are the main outcomes of financial restructuring in Pre-IPO stages? Financial restructuring improves solvency, aligns accounting with IND-AS, simplifies group structures, and creates a balance sheet attractive to investors. Why is due diligence critical before IPO filing? Due diligence uncovers hidden liabilities, financial inconsistencies, and legal exposures that could otherwise delay approvals or damage credibility. What does a compliance review include? It includes checking adherence to Companies Act, SEBI, FEMA, RBI, Income Tax, and GST laws, along with corporate governance and disclosure requirements. IPO Management Services Pre-IPO Advisory Regulatory Support Documentation Coordination Post-IPO Compliances CA. Dhiraj Jain FCA, DISA Let’s Talk Reach out to our team  we’re here to assist you with audit, tax, and advisory solutions. Contact Now Explore More Services IPO Management Services Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Corporate Compliance with MCA Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Audit & Assurance Ensuring transparency, accuracy, and regulatory compliance through expert audits. Read more Income Tax Comprehensive tax planning, filing, and representation for individuals and businesses. Read more GST Specialized GST compliance, advisory, and litigation support tailored to your needs. Read more Project Finance Financial structuring, viability analysis, and advisory for infrastructure and capital projects. Read more RBI Empaneled Services Trusted statutory auditors for RBI-regulated entities, ensuring compliance and risk control. Read more