“Compliance isn’t just about following rules; it’s about building trust in the marketplace.”
At BlueRock Advisors LLP, we specialize in Securities Law Advisory Services, ensuring businesses comply with SEBI regulations, stock exchange guidelines, and corporate governance norms. Whether you are a listed entity, a company preparing for listing, or an investor dealing with securities compliance, our expert team of Company Secretaries, Legal Advisors, and Compliance Experts provides strategic solutions to navigate the complexities of securities laws.
From IPO advisory and takeover regulations to insider trading compliance and corporate governance, we help businesses mitigate risks and maintain regulatory adherence in capital markets.
📌 Our Securities Law Advisory Services
📍 SEBI Compliance & Regulatory Approvals
✔ Assistance in obtaining SEBI approvals & exemptions.
✔ Compliance with SEBI (LODR) Regulations, 2015, ensuring periodic and event-based disclosures.
✔ Advisory on insider trading regulations & corporate governance frameworks.
📍 Stock Exchange Listing & Compliance
“A well-structured listing is the first step to market credibility.”
✔ Direct Listing – Listing Without IPO, SME listing, and reverse listing.
✔ Compliance with stock exchange requirements for listed companies.
✔ Assistance in revocation of suspension & delisting of shares.
📍 IPO & Fundraising Advisory
✔ End-to-end IPO advisory services, including drafting of prospectus & regulatory approvals.
✔ Private Placement, Rights Issue, Preferential Issue, and Bonus Issue compliance.
✔ Structuring and compliance for Qualified Institutional Placement (QIP) & FPOs.
📍 Takeover & M&A Regulatory Advisory
✔ Advisory on SEBI Takeover Code (SAST) compliance for acquisitions & mergers.
✔ Open Offer compliance and exemptions under SEBI regulations.
✔ Assistance with buybacks, promoter reclassification, and shareholder restructuring.
📍 Insider Trading & Disclosure Compliance
“Transparency builds confidence, and confidence attracts investors.”
✔ Implementation of Insider Trading Policies & Trading Window Closures.
✔ Filing of disclosures under SEBI (PIT) Regulations, 2015.
✔ Monitoring and compliance for Key Managerial Personnel (KMP) & Promoters.
📍 ESOP & Employee Benefit Schemes
✔ Structuring of Employee Stock Option Plans (ESOPs) & Trust Formation.
✔ Compliance with SEBI (SBEB) Regulations for employee benefit schemes.
✔ Drafting and implementation of Employee Share Purchase Plans (ESPPs).
📍 Securities Litigation & Representation
✔ Representation before SEBI, SAT, Stock Exchanges & NCLT for regulatory matters.
✔ Advisory on investor grievances, penalties, and enforcement actions.
✔ Assistance in seeking waivers for penalties imposed by regulatory bodies.
🚀 Why Choose BlueRock Advisors LLP?
✅ Industry Experts in Securities Law – Our professionals have in-depth knowledge of SEBI laws, stock exchange regulations, and capital market compliance.
✅ End-to-End Regulatory Support – From IPO filings to takeover compliance, we handle all securities law matters.
✅ Risk Mitigation & Compliance Assurance – Helping businesses avoid penalties & regulatory breaches with proactive strategies.
✅ Tailored Solutions for Listed & Unlisted Entities – Customized advisory for companies at different growth stages.
✅ Seamless Stock Exchange Filings & SEBI Approvals – Ensuring hassle-free compliance for public & private companies.