Practice Brief • Corporate Advisory & Virtual CFO
SEBI Compliance, LODR & Capital Market Advisory
SEBI LODR listing compliance, Insider Trading (PIT) SDD, Takeovers (SAST), and intermediary audits.
Turnaround: Scheduled quarterly compliance cycles; 24-48 hours for material event disclosures
Practice Lead: CA. R.A. Dhoot & Capital Markets Regulatory Desk
Practice Methodology & Regulatory Scope
The Securities and Exchange Board of India (SEBI) imposes stringent governance mandates on listed companies, Alternative Investment Funds (AIF), and capital market intermediaries. Directed by Senior Chartered Accountant & Cost Accountant CA. Ram Awatar Dhoot, our capital markets desk delivers rigorous quarterly LODR filings, SAST takeover disclosures, PIT insider trading protocols, and regulatory defense before SEBI adjudication officers.
Governing Statutory Acts & Guidelines
SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR)
SEBI (Prohibition of Insider Trading) Regulations 2015 (PIT)
SEBI (Substantial Acquisition of Shares and Takeovers) Regulations 2011 (SAST)
Securities and Exchange Board of India Act 1992
Tangible Client Deliverables
1
Regulation 33 quarterly and annual financial results limited review reports & certificates2
Quarterly Corporate Governance Reports (Regulation 27) and Secretarial Compliance Reports3
Structured Digital Database (SDD) audit & compliance certification under PIT regulations4
Promoter shareholding & encumbrance disclosures under SAST Regulations 29, 30, and 315
Statutory & internal audits for SEBI Registered Intermediaries (Brokers, PMS, AIF, DP)Measurable Enterprise Safeguards
Zero trading suspension or stock exchange penalty notices under SEBI SOP circulars
Ironclad defensibility against SEBI show-cause notices and adjudication inquiries
Independent Chartered Accountant certification enhancing institutional investor confidence
Statutory Practice FAQs
Q: What is the Structured Digital Database (SDD) requirement under SEBI (PIT)?
A: Under Regulation 3(5) of SEBI (Prohibition of Insider Trading) Regulations, every listed company and intermediary handling Unpublished Price Sensitive Information (UPSI) must maintain an internally non-tamperable Structured Digital Database with time-stamping containing details of persons with whom UPSI is shared.
Q: What are the key ongoing compliance deadlines under SEBI LODR?
A: Key deadlines include submitting quarterly financial results within 45 days of quarter end (60 days for annual results), quarterly shareholding pattern within 21 days, corporate governance report within 21 days, and annual secretarial compliance report within 60 days of financial year end.
Partner Consultation
Engage Practice Partner
Schedule an in-person chambers discussion or encrypted virtual conference with our senior practice leader.
Designated Partner Lead:
CA. R.A. Dhoot & Capital Markets Regulatory Desk
ICAI Fellow Chartered Accountant
Strict client confidentiality maintained under ICAI Code of Ethics.