Regulatory Compliances and Clearances

With the advent of the Companies Act, 2013, there is a growing need for being cautious in regulatory compliances. There is a responsibility statement, the Board of Directors have to make to the shareholders in their Board’s Report that the Company has set up a proper system for ensuring compliances and they are monitoring the same and it is adequate and is functioning effectively. The responsibility cannot be carried out unless the Board ensures through a combination of internal and external experts. We, at CACS, offer end to end solutions in ensuring compliances in relating to certain laws and regulations. Companies Act, 2013, Securities Laws and the regulations issued from time to time by the Securities and Exchange Board of India [SEBI] under the SEBI Act, 1992 such as the regulations relating to Disclosure and Investor Protection, ESOP, TAKEOVER Code, Insider Trading Regulations.

Some regulations and guidelines prescribed under the Securities and Exchange Board of India Act, 1992 are:

  • Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) Regulations, 2011
  • Securities and Exchange Board of India (Prohibition of Insider Trading) Regulations, 2015
  • Securities and Exchange Board of India (Issue of Capital and Disclosure Requirements) Regulations, 2009
  • Securities and Exchange Board of India (Share Based Employee Benefits) Regulations, 2014
  • The Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008
  • The Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993
  • The Securities and Exchange Board of India (Delisting of Equity Shares) Regulations, 2009 and
  • The Securities and Exchange Board of India (Buyback of Securities) Regulations, 1998

We do specialize in advising our clients in complying with the provisions of the Foreign Exchange Management Act, 1999, [FEMA] the Regulations issued by Reserve Bank of India under FEMA, the Industrial Policy, Foreign Direct Investment Policy and also the regulations governing the Non Banking Financial Companies [NBFCs] especially the revised regulatory framework for NBFCs issued by RBI recently, regulations monitored by the Insurance Regulatory and Development Authority [IDRA] are some of those regulations in which CACS specializes.

At CACS, we address concerns of our clients and assure them complete freedom from risks arising from regulatory non compliances. We focus on concurrent advisory services in managing regulatory compliances under regulations/legislations.

Most regulators have their headquarters in New Delhi, including but not limited to, the Ministry of Finance, Ministry of Industry, Ministry of Corporate Affairs, Ministry of Commerce,. In addition, the Securities and Exchange Board of India, the Reserve Bank of India and the National and Bombay Stock Exchanges are situated in Mumbai (also known as Bombay), the commercial capital of India. Our offices in both Mumbai and New Delhi work in sync to seamlessly cater to the needs of our clients in the securing of various valuable licenses and clearances.

  • Government Approvals
    • Approvals from the Ministry of Corporate Affairs (New Delhi) and Offices of the Regional Director and the Registrar of Companies
    • Approvals of delay in the filing of various applications under the Companies Act, 2013
    • Appearance on compounding applications; Approvals from the Ministry of Industry (New Delhi) for industrial licenses
  • Approvals from the Ministry of Finance, New Delhi:
    • Approvals from the Foreign Investment Promotion Board (FIPB) for Foreign Direct Investment (FDI) in India
    • External Commercial Borrowings Approvals (ECB)
  • Approvals from Stock Exchanges (Mumbai and National Stock Exchanges):
    • Listing of securities including in principle approvals
    • Delisting of securities
    • Acquisition / Buyback of Securities
    • Employees Stock Option Schemes and Issue of Sweat Equity Shares
    • Redressal of investor grievances
    • Clearance of schemes of amalgamation
  • Approvals from the Reserve Bank of India:
    • Non-Banking Finance Companies
    • Approvals, follow up under the FEMA/FDI
    • Setting up of Overseas Joint Ventures and Wholly Owned Subsidiaries
    • External Commercial Borrowings.
    • Establishment of Branch / Representative Offices for Foreign Business Entities.
    • Establishment of Joint Ventures, Associate and Wholly Owned Subsidiaries for Foreign Business Entities

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