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Regulatory, Legal & Secretarial Compliances

Issues:

Non-compliance of laws and regulations is a noted fact in India, emanating enterprise risks and threatening the position of companies from regulatory side. For achieving desired results, it is important that regulatory measures are modeled based on the practices and business environment in India. This can be achieved only, when the Board and Promoters are embracing such reforms, in form and spirit.

Solution:

Solidus Capital provides peace of mind to the corporates by:

  • (i) Managing a robust Corporate Compliance program reducing the risk of uncertainty in dynamic market
  • (ii) Understanding and managing Corporate Enterprise Risks
  • (iii) Timely and candid involvement of CEO, COO, CFO, CIO, CRO, CS, Corporate counsel with regular reports to the Board, with ample opportunity for open dialog and action plans to address real time compliance, regulatory and other issues
  • (iv) Ensuring 100% compliances with Indian & International laws & regulations, legal and secretarial standards, carving out not only unique brand equity, the need for compliance framework but also suggesting financial implications on the organization. Thereby mitigating overall business risk
  • (v) Coordinating with Legal counsels and Big 4s as to commercial arrangements, contract management, third party alliances, complex outsourcing deals and audit reports, bridging the real gap between these reports and their business implementation
  • (vi) Board and Stakeholders support, M&A compliance, formulating corporate policies, governance, risk & compliance, corporate secretarial services and ESOPs advisory
  • (vii) Designing & implementing company’s governance, risk & compliance framework vide workshops
  • (viii) Designing risk evaluation and mitigation measures
  • (ix) Carving out CSR initiatives and comprehending its social importance with strong business acumen
  • (x) Defining Systems, Processes and SOPs to meet the Vision, Mission & Goals
  • (xi) Laying down processes for effective Board Framework and Stakeholders Value Creation
  • (xii) Advisory & Opinions on Legal compliance & Reporting Structure
  • (xiii) Defining Whistleblower Program & Implementation
  • (xiv) Compliances with respect to Listing, Delisting, Public/Rights/Bonus Issue, Preferential Allotment, QIP, Takeover, Buyback, Delisting and Dematerialization of shares
  • (xv) Company Incorporation and Regulatory Compliances – Setting up a company with all the required approvals and banking processes
  • (xvi) Legal, Secretarial and Compliance Audit

Solidus Capital helps the corporates in the following event and time-based compliances:

(I) Under the Companies Act, 2013
  • New Company Registration including start of a new business setup – Incorporation of a Pvt. Ltd. Co., LLP, Producer Company, Society, Section 25 Company, NGOs, Foreign Company (Branch/Liaison/Project Office abroad)
  • Corporate Secretarial Compliances pursuant to Companies Act, 2013 – Change of MOA & AOA i.e. Capital/Name/Objects, Statutory Registers, Minutes Book, Notice, Annual Returns, Agenda & Resolutions for Board and General Meetings
  • Secretarial and Corporate Compliances including Annual Secretarial Compliance Certificate
  • Corporate compliance management and Compliance health check-up
  • Due diligence support services – Identifying and reporting key exposures, compliance status and material legal issues
  • Training programs of Board and top management as to awareness of changes in not only Corporate laws but other key laws and regulations applicable to the Company
  • Drafting of Annual Reports
  • Search & Status Reports
  • CSR Consulting
  • Procedural Compliances – Mergers, Demergers, Acquisition, Amalgamations, Take over, Slump Sale
  • Assisting in Winding-up or Closure of companies in India
  • Financial statements, reports and analysis through streamlined operational processes and predefined work policies
(II) General Advisory Services
  • All other corporate laws advisory i.e. SEBI, FEMA, labor and other allied laws
  • Setting up of Branch/Liaison/Project Offices in India/Abroad, Joint Venture Company, Wholly Owned Subsidiary (WOS)
  • RERA advisory
  • Contract management
  • Turnaround management before being taken to NCLT
  • Insolvency and Bankruptcy Code advisory
  • Restructuring of business
  • Drafting of corporate policies in lines with existing laws and best industry practices incl. Bribery and anti-corruption policy
  • Whistle blower mechanism, Code of Conduct and prevention of sexual harassment at workplace
  • Corporate Compliance Program including internal financial framework and corporate policies
  • Internal control measures
  • Risk mitigation measures by Dashboards and Risk Management Policy
  • Anti Money Laundering (AML) measures and systems
  • Drafting or Vetting of Agreements & Contracts
  • Interpretation of law, providing opinions and corporate advisory
  • Stock Exchange compliances including and liaison for listing and other matters thereto
  • Designing and implementation of ESOP schemes
  • NBFCs – Compliances with RBI Guidelines, Incorporation, Drafting of Business Plan, Merging & Demerging, Takeover & Stake Sell
  • Due diligence audit for bank as per RBI governance standard
  • Personalized Dashboards
(III) Under Securities and Exchange Board of India (SEBI)
  • Compliance with respect to Listing, Delisting, Public/Rights/Bonus Issue, Preferential Allotment, QIP, Takeover, Buyback, Delisting and Dematerialization of shares
  • Securities and Capital markets advisory on IPO, FPO, QIPs, Rights Issue, ESOPs, Preferential allotment, Issue if Debt (both long/short term debentures, bonds, warrants), Takeovers, Mergers & Acquisition, External Reconstructions, Stock splits, Spin-offs and Dividends and corporate actions – Dividend, Stock-splits, Spin-offs
  • Advising and executing work on SEBI Regulations – Takeover Code and Prohibition of Insider Trading
  • Obtaining Regulatory approvals from SEBI
  • Audit, certification and filing services
  • Compliance with Corporate Governance Code and Report
  • Reconciliation of Share Capital Audit
  • Ensuring legal compliances with respect to any other applicable provisions
(IV) SERVICES UNDER FEMA
  • Filing of Annual Return on Foreign Assets & Liabilities
  • Reporting for External Commercial Borrowings (ECBs)
  • Reporting to RBI for receipt of Foreign Direct Investments (FDI)
  • Reporting to RBI for receipt of Foreign Inward Remittance
  • Reporting to RBI on the Allotment of Shares to Foreign Investors
  • Representing before RBI for compounding under FEMA
  • Services relating to Overseas Direct Investment (ODI)
  • Condonation of delay under FEMA
  • Outsourcing FEMA reporting and compliances by corporate houses
  • Compliance of FEMA & FDI Guidelines in lines with India investment route planning
  • Tab 1
  • Tab 2

Tab 1

Tab 2

Corporate Advisory Services

  • Strategic Initiatives
  • Regulatory Compliances
  • Growth Planning
  • India Entry Solutions

Strategic Initiatives

Business Development

Many large and great business houses also sometimes fail to understand the scope & growth horizon prevalent in the industry.

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Risk Management

Business is an on-going process, facing different types of risks i.e. internal or external and specific to your objectives.

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Restructuring & Reorganization

In the fast growing corporate scenario & day-to-day legal reforms, a corporate needs to adapt itself to desired changes.

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Regulatory Compliances

The Right Asanas For Obtaining Government Approvals

The biggest challenge faced by corporates in taking Govt. approvals is that laws & regulations differ from state to state.

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Balancing Board & Stakeholder Affairs

The frequency of corporate frauds & governance failures of companies requires improved corporate governance practices.

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Growth Planning

Joint Ventures & Alliances

India being a tough capital market and a growing economy, it is difficult to understand the varied laws & regulations.

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Technical Collaboration

No company is self-sufficient in itself. This results in interdependence of companies on each other to meet the requirements.

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Fund Raising

One common factor among corporates hindering their growth is lack of funds and stressed assets.

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India Entry Solutions

Entry Solutions

Solidus Capital helps in establishing Foreign and MNC companies in India through “Make in India” concept.

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Pre Entry Strategy

Solidus Capital provides expertise in the analysis of the country in which entry strategy is aimed at.

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Post Entry Services

Being able to bridge cultural gaps is of utmost importance when expanding into any new market.

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