Regulatory Compliance

SEBI & Capital Markets Advisory

IPO · SME IPO · BSE/NSE Listing · LODR · Insider Trading · Scrutinizer · AIF/PMS

Our Services

Business Registration, Structuring & Market Entry Licences, Registrations & Regulatory Approvals Intellectual Property Rights (IPR) Corporate Compliance, Governance & Advisory FEMA, RBI, NBFC & Cross-Border Transactions GIFT IFSC Advisory SEBI & Capital Markets Advisory Mergers & Acquisitions & Corporate Restructuring Startups, Investments & Fundraising Drafting and Documentation Audit, Assurance & Compliance Management Insolvency (IBC) & NCLT Advisory

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Call Us

+91 97124 44415

Email Us

info@bmtandassociates.com

India's capital markets are experiencing unprecedented growth — with SME IPOs on BSE SME and NSE Emerge platforms surging, SEBI tightening governance requirements, and evolving disclosure requirements significantly shaping the Indian capital markets. Listed entities and market participants are required to comply with stringent governance, reporting, and compliance frameworks.

Bhavesh M. Thakkar & Associates (BMTA) provides advisory and support to companies in navigating capital market transactions and ensuring compliance with applicable SEBI regulations and listing requirements.

We assist clients in IPO advisory (pre and post) for Main Board and SME, complying with SEBI regulations and listing obligations, managing capital market transactions and disclosures, strengthening corporate governance frameworks, and supporting regulatory filings and certifications.

Our Services Includes

We assist companies in capital market transactions, SEBI compliance, listing obligations, intermediary registrations, and regulatory representations.

SME IPO Advisory — BSE SME and NSE Emerge
Mainboard IPO Advisory — BSE / NSE mainboard listing compliance and coordination
Pre-IPO Structuring and Compliance Clean-up — share capital history, ESOP compliance, promoter lock-in, statutory compliance review
IPO Readiness Assessment
DRHP (Draft Red Herring Prospectus) and RHP review and drafting support
Coordination with SEBI Category-I Merchant Bankers, Legal Counsel, Statutory Auditors, and RTA
BSE / NSE / BSE SME / NSE Emerge listing — exchange correspondence and compliance
QIP (Qualified Institutional Placement), Rights Issue, Bonus Issue, ESOP, Sweat Equity
Buyback of Shares
Delisting Advisory

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Advisory and compliance of Listing Obligations — quarterly, half-yearly, and yearly filings
Advisory and compliance of SEBI (PIT) Regulations — Insider Trading
Advisory and compliance of SEBI (SAST) Regulations — Takeover Code, promoter disclosure thresholds, creeping acquisition compliance
Annual Secretarial Compliance Report
BSE Listing Centre and NSE NEAPS filings
Due diligence and documentation support for capital market transactions
Secretarial Audit for listed companies
Compliance certifications under SEBI regulations
Issuance of reports and certificates as required under applicable laws
Acting as Scrutinizer for e-voting and postal ballot processes
Preparation of Scrutinizer Reports for listed entities
Assistance in shareholder meeting processes and compliance

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Portfolio Management Services (PMS) — SEBI registration, compliance, and periodic reporting
Alternative Investment Fund (AIF) — Category I, II, III — SEBI registration and ongoing compliance
Registered Investment Adviser (RIA) — SEBI registration and advisory compliance
InvIT and REIT registration advisory
Application drafting, submission, and post-registration compliance support