SECRETARIAL AUDIT &COMPLIANCES

ROC / MCA / Periodical Audits for Companies
  • SECRETARIAL COMPLIANCE SERVICE TO EVERY LISTED ENTITIY- SEBI REGULATIONS, CIRCULARS, GUIDELINES ETC.,
    • The Securities and Exchange Board of India was established on April 12, 1992 in accordance with the provisions of the Securities and Exchange Board of India Act, 1992. The Securities and Exchange Board of India (Sebi) is a statutory regulatory body established by the Government of India to regulate the securities market in India and protect the interests of investors in securities.
    • SEBI has the power to regulate and perform functions such as check the books of accounts of stock exchanges and call for periodical returns, approve by-laws of stock exchanges, , inspect the books of financial intermediaries such as banks, compel certain companies to get listed on one or more stock exchanges, and handle the registration of brokers.
    • SEBI was established to keep a check on unfair and malpractices and protect the investors from such malpractices. The organization was created to meet the requirements of the following three groups:
      • Issuers: SEBI works toward providing a marketplace to the investors where they can efficiently and fairly raise their funds.
      • Intermediaries: SEBI works towards providing a professional and competitive market to the intermediaries
      • Investors: SEBI protects and supplies accurate information to investors.
    • Objectives of SEBI
      • The fundamental objective of SEBI is to safeguard the interest of all the parties involved in trading. It also regulates the functioning of the stock market. SEBI’s objectives are:
      •  To monitor the activities of the stock exchange.
      •  To safeguard the rights of the investors
      •  To curb fraudulent practices by maintaining a balance between statutory regulations and self-regulation.
      •  To define the code of conduct for the brokers, underwriters, and other intermediaries.
    • Functions of SEBI
      • SEBI carries out the following tasks to meet its objectives: Protective functions, Regulatory functions, and developmental functions. Functions that SEBI performs as a part of its protective functions are:
      •  It checks price manipulation
      • It bans Insider trading
      • It prohibits unfair and fraudulent trade practices
      • It promotes fair code of conduct in the security market
      • It takes efforts to educate the investors regarding ways to evaluate the investment options better
      • As a part of its regulatory functions, SEBI performs the following role:
      • It has designed a code of conduct, rules, and regulations to regulate the brokers, underwriters, and other intermediaries.
      • SEBI also governs a company’s takeover.
      • It regulates and registers the workings of share transfer agents, stockbrokers, merchant bankers, trustees, and others who are linked with the stock exchange.
      • It regulates and registers the mutual funds as well.
      • It conducts audits and inquiries of stock exchanges.
      • As a part of its developmental functions, SEBI performs the following role:
      • It facilitates the training of the intermediaries.
      • It aims at promoting activities of the stock exchange by having an adoptable and  flexible approach.
    • Secretarial Audit Service – Check on Compliances of overall applicable acts to the Company like SEBI Act, Companies Act, FEMA and other industry specific laws.
      • Annual Compliance For Pvt Ltd Companies
      • Annual Filings For Pvt Ltd Companies
      • Increased In Authorized Capital
      • Due Diligence Of Company
      • Secretarial Audit For Companies
      • Application To Roc For Appointment & Removal Of Directors
      • Revival Of Companies Under NCLT
      • Preparing Secretarial Manual
      • Alteration Of Articles Of Association &
      • Amendment To Memorandum Of Association
      • Change In Name Of Company& Address

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