Insider and Takover Law Compliance

Law Compliance

As a firm led by professionals in corporate law and regulatory strategy, we offer specialized advisory services tailored for listed companies and market intermediaries. Our expertise spans across corporate governance, insider trading compliance, internal controls, and SEBI-mandated disclosure frameworks. We combine legal insight with real-world business acumen to help your board and executive teams navigate the stringent demands of India’s securities laws.

📝 Formulation & Review of Codes and Policies

Every listed entity is mandated to frame comprehensive codes under SEBI’s regulatory framework. We support your leadership in:

  • Drafting and implementing a Code of Conduct for trading by Designated Persons
  • Designing a Fair Disclosure Policy for Unpublished Price Sensitive Information (UPSI)
  • Reviewing existing codes and procedures to ensure alignment with evolving regulations
  • Benchmarking your internal frameworks against best practices across your sector

🛡️ Internal Control Systems for Insider Risk

We assist in establishing and reinforcing internal systems that detect and deter insider trading risks:

  • Conducting cross-functional interviews with department heads
  • Identifying exposure points within information flow systems
  • Recommending tailored control measures and ethical safeguards
  • Documenting internal procedures and escalation mechanisms

🔍 Insider Law Compliance Audit

SEBI places a critical responsibility on the Board of Directors and Audit Committee to periodically review compliance with insider trading laws. Our audit service includes:

  • Assessing compliance with SEBI (Prohibition of Insider Trading) Regulations
  • Verifying documentation trails and access logs to UPSI
  • Highlighting control deficiencies and advising remediation
  • Preparing audit reports aligned with board-level governance expectations

📤 Regulatory Disclosures & Takeover Filings

Our team ensures timely and accurate filing of disclosures under SEBI Takeover Regulations:

  • Drafting and submitting SAST-related disclosures to stock exchanges
  • Maintaining compliance calendars for routine and event-driven disclosures
  • Coordinating with merchant bankers and compliance officers to close disclosure cycles

Let's Discuss Your Business Goals & Schedule a free consultation today

Let’s discuss your business goals and explore how we can help you achieve them! Schedule a free consultation today to get expert insights, tailored strategies, and actionable steps designed specifically for your growth. Whether you’re just starting out or looking to scale, we’re here to support your journey.

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