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Blue Smoke Swirl

Capital Market & Securities Laws Services in India

Our Capital Market & Securities Laws Practice

Teotia & Associates, Company Secretaries provides comprehensive advisory and compliance services in relation to securities laws and capital market regulations in India. Our practice focuses on assisting listed companies and market participants in understanding and complying with the regulatory framework prescribed by the Securities and Exchange Board of India (SEBI). We offer guidance on key regulations including SEBI (ICDR), SEBI (LODR), and SEBI (PIT), ensuring that clients are well-informed about their obligations and compliance requirements.

We work closely with boards, management, and compliance teams to support implementation of corporate governance standards, disclosure requirements, and insider trading controls. Our services also extend to advising on capital raising transactions, preparation of offer documents, and post-issue compliance.

With a structured and practical approach, we help organisations maintain transparency, strengthen governance practices, and ensure timely compliance with regulatory requirements. By continuously tracking regulatory developments, we provide updated and reliable advice, enabling clients to operate confidently within the capital markets framework while minimising compliance risks.

Our Services

Key Contacts

Kunal Photo.jpg

Kunal Teotia

Partner

SEBI Regulatory Advisory

We provide comprehensive advisory on compliance with regulations issued by the Securities and Exchange Board of India (SEBI). Our services include guidance on SEBI (ICDR), SEBI (LODR), and SEBI (PIT) Regulations, helping companies understand regulatory provisions, disclosure requirements, and compliance obligations. We assist in interpreting complex regulatory frameworks and aligning business practices with applicable securities laws.

 

Our objective is to ensure that listed companies and market participants clearly understand their responsibilities and maintain consistent compliance with SEBI regulations while promoting transparency, accountability, and sound corporate governance practices.

Listing Compliance & Corporate Governance (LODR)

We assist listed companies in complying with SEBI (Listing Obligations and Disclosure Requirements) Regulations. Our services include advisory on disclosure requirements, corporate governance norms, board composition, and committee structures. We also provide ongoing compliance support by monitoring obligations, reviewing filings, and ensuring adherence to timelines.

 

Our objective is to help companies maintain transparency, strengthen governance frameworks, and comply with listing regulations effectively. By ensuring proper implementation of LODR requirements, we support companies in building investor confidence and avoiding regulatory risks or penalties.

Capital Raising & ICDR Compliance

We provide advisory and compliance support in relation to issue of securities under SEBI (ICDR) Regulations. Our services include guidance on rights issues, preferential issues, and preparation of offer documents with appropriate disclosures. We assist in understanding eligibility conditions, structuring capital raising transactions, and ensuring compliance with regulatory requirements. We also support post-issue compliance to ensure timely completion of regulatory obligations.

 

Our objective is to ensure that capital market transactions are executed in a legally compliant and well-structured manner while maintaining transparency and investor protection.

Insider Trading Compliance & PIT Advisory

We provide advisory and compliance support under SEBI (Prohibition of Insider Trading) Regulations. Our services include drafting and implementation of insider trading policies, code of conduct, and compliance frameworks. We advise on trading window closure, pre-clearance of trades, reporting requirements, and maintenance of structured digital databases. Our objective is to ensure that companies establish effective internal controls to prevent insider trading and comply with regulatory requirements.

 

By implementing structured compliance mechanisms, we help organisations maintain integrity, transparency, and regulatory discipline.

Compliance Implementation & Ongoing Support

We provide ongoing compliance support to ensure continuous adherence to SEBI regulations. Our services include reviewing compliance processes, assisting in regulatory filings, monitoring reporting requirements, and providing procedural guidance. We support companies in maintaining statutory records, implementing compliance frameworks, and managing regulatory obligations effectively. Our objective is to ensure that companies remain compliant with evolving SEBI regulations on a continuous basis.

 

With a proactive and structured approach, we help businesses minimise compliance risks, avoid penalties, and maintain strong regulatory and governance standards.

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