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Depositories, share brokers, Portfolio managers, etc… are called INTERMEDIARIES under securities laws and require registration with SEBI to operate in capital market.

To ensure proper compliance of intermediaries operations and internal control mechanism, SEBI has prescribed certain audit requirements which needs to be complied on a periodical basis as certified by a competent Professional like Company Secretaries or Chartered Accountants. There are material transactions, related party transactions, pool accounts, positions, KYC norms and what not makes intermediaries legal life more complex. Adding to this is the SEBI surveillance on capital market compliances through its wide range of regulations, circulars, notifications and that too, which are frequently amended to suit the market conditions. Further, NSDL and CDSL also mandate certain audits on a periodical basis which also needs to be complied with.

As a corporate entity listed with the Stock exchanges and having appointed intermediaries like Registrar & Share Transfer agents to handle your securities related dealings, it becomes very essential to keep track on tallying of all records of capital details submitted with various authorities and to properly record the reasons in writing for the mismatch, if any. Though we remain in the electronic world with depositories into the scene making securities fungible, still there are physical holdings which requires large amount of physical audits and verifications.

Lawlabz can enable you to manage your compliances and audits on a timely basis with competent professionals to make you compliant with securities laws, rules, circulars and regulations on a continuous basis.

Strategy:

1. a.To understand the compliance requirement of the entity
2. b.To study the previous compliance reports filed as on date

Procedure:

1. a.To go through the registers, records, documents and things maintained by the entity
2. b.To audit through the defined & created custom made checklist based on entity’s operation
3. c.To check on the existing internal control systems & mechanisms

Compliance & Certification:

1. a.To ensure generation of requisite reports to clearly throw the compliance picture of the organization and to highlight things with an exception report that needs more attention
2. b.To ensure the reports are certified by competent professional as required by the law

Legal & Secretarial Compliance Management Packages:

• Secretarial audit
• FEMA audit
• Industrial & Labour audit
• SEBI audit
• Due diligence (Comprising of above mentioned 4)