11 - Listed-company compliance · Disclosure discipline · Insider-trading frameworks
Securities & Capital Markets
Advisory for listed and closely-held companies on securities compliance, disclosure discipline and market conduct.
What this area covers
Listed-company continuous disclosure and LODR compliance advisory · Insider-trading code design, designated-person lists and structured digital database · Trading-window and pre-clearance process design · Materiality policy and event-disclosure assessment · Related-party approval process for listed entities · Secretarial and governance compliance review, and health checks · Private placement, rights issue and preferential allotment documentation · Share transfer, transmission, dematerialisation and register-of-members issues · Debenture and non-convertible instrument documentation support · Investor communication, shareholder meeting and voting process advisory · Response to regulator and exchange queries, and show-cause notices · Market-conduct and disclosure risk review for promoters and insiders