Capital Market and Securities Law

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Capital Market and Securities Law

Capital Market and Securities Law

In India, the capital market delivers the support to the system of capitalism of the country. The Securities and Exchange Board of India (SEBI) and Reserve Bank of India are the two regulatory authorities for Indian securities market, to protect investor’s rights, belief, promotion, and improvement in the microstructure of capital markets in India.There are two types of capital Markets i.e. Primary markets and another is Secondary markets. In a primary market, companies, governments, or public sector institutions can raise their funds through bond issues. Also, Corporations can sell new stock through an initial public offering (IPO) and raisemoney through that. Thus, in the Primary market, the party directly buys shares of a company. The process of selling new shares to investors is called underwriting.In the Secondary Markets, the stocks, shares, and bonds etc. are bought and sold by the customers through online trading platform via Stock Exchanges like NSE, &BSE etc.

Indian Capital Markets constitute

  • Fund Providers – FII & DII, Venture capital funds, NRIs, ADR/GDR investors, etc.
  • Intermediaries – Intermediaries are service providers in the market, including stock brokers, sub-brokers, financiers, merchant bankers, underwriters, depository participants, registrar and transfer agents, FIIs/ sub-accounts, mutual Funds, venture capital funds, portfolio managers, custodians, etc.
  • Organizations – Organizations include various entities such as MCX-SX, BSE, NSE, other regional stock exchanges, and the two depositories National Securities Depository Limited (NSDL) and Central Securities Depository Limited (CSDL).
  • Market Regulatory – Securities and Exchange Board of India (SEBI), the Reserve Bank of India (RBI), and the Department of Company Affairs (DCA).

Nature of Dispute

  • Non-compliance to furnish information and returns etc.
  • Miscarry to enter an agreement with clients.
  • Fail to redress investor’s grievance.
  • Default in case of mutual funds.
  • Fail to observe rule and regulation by AMC.
  • Default in case of Alternative Investment Funds, Infrastructure Investment Trust, and Real Estate Investment Trust.
  • Default in case of Stock Brokers and insider trading.
  • Non-disclosure of acquisition of shares and take-overs.
  • Fraudulent and unfair trade practice.

Our services

Our firm has immense experience in dealing with SEBI on compliance related issues such as continuous disclosure, listing criteria and regulatory filings and is regularly assisting its clients on this front. We have a gamut experience of capital market, securities market and debt market. The firm provides assistance in raising of capital in private and public companies, takeovers, public issues/offerings, private placements, buy-back, renounceable and non-renounceable rights issues and other Securities and Exchange Board of India (SEBI) related issues. The firm hand hold its clients from preparatory restructuring and due diligence, all the way through the post listing corporate governance. The services include the entire spectrum of Capital Market activities such as:

  • Litigation before Securities Appellate Tribunal (SAT)
  • Initial public offering (IPO);
  • Qualified Institutional Placement (QIP);
  • Foreign Currency Convertible Bonds ‘(FCCB)”;
  • Takeovers;
  • Rights and Preferential Issues
  • Public issue of bond and debenture;
  • Buyback of securities;
  • Due Diligence;
  • Assisting in preparation of Red Herring Prospectus and Offer documents.
  • Advisory services to listed companies & market intermediaries in the areas of statutory & regulatory compliances, including signing off on day-to-day compliance obligations with Stock Exchanges and SEBI.